FEDERAL SECTION 5311Rural & Small Urban Transit Assistance

5311 OPERATING / 5339 CAPITAL APPLICATION PACKAGE

CY 2019

Office of TransitTodd Jennings, Program Manager

Indiana Department of Transportation100 North Senate Ave., Room N955

Indianapolis, Indiana 46204-2219

Section 5311 funds are available for expenditure for public transportation projects. Public transportation is defined to mean mass transportation, either publicly or privately owned, which

provides to the general public or special service on a regular and continuing basis.

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Double click inside spreadsheet to enter information

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TABLE OF CONTENTS

Page

APPLICANT INFORMATION 2

APPLICATION INSTRUCTIONS 4

I. PROJECT DESCRIPTION 4

II. PUBLIC PARTICIPATION 7

III. PROJECT JUSTIFICATION 8

IV. FTA REQUIREMENTS AND CERTIFICATIONS 9- Certification check-off sheet 51- Certification & Assurances/Attorneys Affirmation signature form 52

Lists of Statutes, Regulations, Executive Orders Etc. Applicable to Sec 5311 Program 48

ATTACHMENTSATTACHMENT 1 - Operating Project Budget 12

ATTACHMENT 2 - Operating Budget Worksheet 18

ATTACHMENT 3 - Capital Project Budget 18

ATTACHMENT 4 - Certifications and Assurances 19

ATTACHMENT 5 - Local Assurances 53

ATTACHMENT 6 - Acceptance of Section 5333(b) Warranty 54

ATTACHMENT 7 - Section 5333(b) Warranty Providers 55

ATTACHMENT 8 - Categorical Exclusions for Capital Projects 56

ATTACHMENT 9 - Certification of Use of Project Equipment, Facilities & Property 57

ATTACHMENT 10 - Pass-Through Agreement 58

ATTACHMENT 11 - Letter of Intent (Required for New Applicants Only) 63

Appendix A - Expense and Revenue Definitions 66Appendix B - Sample Capital Budget 68Appendix C - Sample Format for Notice of Public Hearing 69Appendix D - Sample Format for Opportunity to Hold a Public Hearing 70Appendix E - Authorizing Resolution 71Appendix F - Special Section 5333(b) Labor Warranty 72Appendix G - Vehicle Price Sheet 82Appendix H – Application Checklist 83

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APPLICATION INSTRUCTIONS FOR SECTION 5311 OPERATING & 5339 CAPITAL ASSISTANCE GRANTS

INTRODUCTIONThe Indiana Department of Transportation (INDOT), the Office of Transit (OT) makes Section 5311 Operating assistance available to eligible applicants on a calendar year (January - December) basis. 5339 Capital assistance is available to eligible applicants on an 18-month (January – June) basis.

The purpose of this application package is to provide information, guidance, and a format for completing a request for Rural Transit Program grant assistance. The Office of Transit requires that Applicants use this format when developing an application. Applicants must submit one original (unbound with original signatures, must be blue ink) and one e-file (PDF) version.

Grant applications must be received by June 18, 2018 for Calendar Year 2019 Projects. Applications must be complete and accurate. Applications shall be selected based on the results of a review process by the Office of Transit staff. The Section 5311 Management Plan discusses in further detail the application review and selection process. Copies of the Management Plan may be obtained from the Office of Transit. Applicants experiencing difficulty in completing the application may request assistance from the Office of Transit.

GENERAL INSTRUCTIONSAnswers should be complete, clear, and concise. The application should be completed on separate paper, except where standard forms or assurances are required. Also, it is important that the information be presented in the same order it is requested.

Existing Grantees: Applicants that are already receiving Section 5311 funding, are required to submit the application and only authorized to request operating funds up to their formula allocation amount. This application will replace the application that is currently on file with the Office of Transit. Contact the Office of Transit if you have not received your funding allocation amount.

New Applicants: Interested new providers must submit a Letter of Intent for funding assistance prior to completing the appropriate application. (ATTACHEMENT 11, pg. 63) First time applicants must have a completed and approved feasibility study in order to receive funding assistance. If approved, each new system will be established as a demonstration project that INDOT is not obligated to fund beyond two years. PMTF state funding assistance is not available until the third year of the approved project.

I. PROJECT DESCRIPTION

A. APPLICANT'S EXISTING SERVICES & SERVICE AREA

1. Identify the type and provide a brief description of the existing transportation services. For Brokerage Services, explain current demand handling and scheduling system and capabilities.

2. Provide a description of the service area (provide demographic, economic, and geographic information).

3. Identify the most current number of annual passengers (clientele) served or annual passenger (clientele) trips provided. Please indicate the year.

4. Provide a breakdown of types of passengers (clientele) served by major population groups (e.g., elderly, low income, minority, disabled, etc.) as well as any special programs or transit service.

B. PROPOSED PROJECT

1. OPERATING PROJECTS

a. Identify the type(s) of services to be provided through the Section 5311 grant:

(1) Fixed Route: Identify the number of routes and the frequency of service (i.e., headways).

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(2) Demand Responsive: Identify the type of demand responsive service (e.g., immediate response, shared ride taxi, countywide dial-a-ride with prearranged trip request, etc.).

(3) Point-Deviation: Identify the number of routes, the frequency of service (i.e., headways), and the number of fixed points or designated stops.

(4) Subscription Service: Identify the service arrangements. Briefly explain the service(s) provided.

(5) Intercity Fixed Route: Identify the number of routes & the trip times (i.e., time of day).

(6) Intercity Feeder Service: Identify type of service(s) and arrangements for linking up with regular intercity fixed route carrier.

For demand responsive, subscription service and brokerage service describe the service area characteris-tics, days and hours of service, number of vehicles in service, and fare structure for all ride cat egories, including any discount categories.

If the service is fixed route or point-deviation, include a route map. If the service is demand responsive or other, include a service area map and identify the areas to receive the proposed transit service.

b. Under all service types indicate whether the proposed project is a continuation of existing, expansion, or new service.

2. CAPITAL PROJECTS: This project is to (check appropriate category and provide brief description):

[ ] Replace existing capital items (VIN #):  

[ ] Add needed capital items:  

[ ] Improve existing programs or service (identify programs or service to be improved):  

[ ] Expand existing or develop new programs or service (identify): _______________________

C. PROJECT IMPLEMENTATION

1. OPERATING BUDGET- 5311 - ATTACHMENT 1

The project budget should be prepared using projections for only those costs which are expected to be incurred in operating the system. The federal share of eligible expenses shall not exceed 50 percent of the Net Operating Expense. Net Operating Expense is the difference between the total operating expenses and total farebox and other revenues. Expense and revenue definitions are provided in Appendix A.

Where possible, budget estimates should be based on previous actual expenses. Line items should be itemized according to the standard line items and definitions as listed in this application package. It is particularly important that the itemization of revenues and expenses be sufficient for the Office of Transit to verify the calculations of eligible operating expenses, net project cost, local match, and eligible Section 5311 assistance. All figures must be rounded to the nearest dollar.

Brokerage Services Grants should use the operating budget. Revenues generated from brokerage user fees should be identified under revenue Category 406, if applicable.

Please note that the stated intent of the Section 5311 program is to augment and not to replace existing trans-portation funding.

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2. BUDGET WORKSHEET AND ANALYSIS - ATTACHMENT 2

The Project Budget represents an estimated expense and revenue statement for the project year. At a min i-mum, the methodology for obtaining sound estimates involves:

a. an analysis of the previous year actual expenses and revenues;b. projecting the current year actual expenditures to date; and;c. estimating the proposed year figures based on items one and two.

Evidence that the data was used in developing the proposed year project budget shall be included in the application and be prepared in the format provided. An explanation of the escalation or inflation factors used in developing the line item expenses and revenues must be provided with Attachment 2.

3. CAPITAL BUDGET –5339 – ATTACHMENT 3

NOTE: The Capital Budget Section needs to be filled out when applying for assistance in excess of $3,000. Projects less than or equal to $3,000 should be included in the operating budget as line Item 517 - Equipment.

a. The budget must be developed in accordance with the format provided. It is particularly important that the itemization of expenses and local match be sufficient for the Office of Transit to verify the calculations of eligible capital expenses, total expenses, local match, and eligible Section 5311/5339 assistance. In addition, a concise description for each line item (activity) must be provided.

The following definition and guidance will be used by the Office of Transit as the basis for determining whether a particular item is eligible for capital funding:

The item requested is tangible, non-expendable personal property which

(1) has a useful life of more than one year, and

(2) has an acquisition cost of $300 or more per unit.

Any transit related equipment that meets these two criteria will be eligible for funding in a capital project. Equipment that fails to meet the first criteria will not be eligible for capital funding.

b. Eligible Expenses

Eligible expenses include vehicles, wheelchair lifts, tie downs, communication systems and installation costs, passenger shelters, major maintenance and office equipment, and construction or renovation of transit facilities. The federal share of eligible expenses shall not exceed 80 percent of the Total Capital Expense. (AT THIS TIME, VEHICLES ONLY)

The following are areas of capital expenses that should be considered in developing a budget. These areas are intended only as guidance. Each capital assistance budget request will need to have both a SCOPE and an ACTIVITY code. An example is provided in Appendix B. The scope and activity codes give a broad description of the purpose of the project.

c. Eligible Local Share: Please look at Item 6 - Eligible Local Share for Operating and Capital Grants on ATTACHMENT 1.

d. Purchase of vehicles: Applicants requesting vehicles should first review the “Vehicle Price Sheet – Appendix G” as well as the Office of Transit “Considerations in Selecting a Vehicle” (Copies of this document are available from INDOT Office of Transit)

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4. PROCUREMENT

a. Do you have staff or have access to staff that has procurement experience? Are they familiar with state and federal procurement regulations?

b. If you do not have staff with procurement experience, then explain who will administer and implement the procurement process.

c. Identify the proposed procurement methods to be used to purchase the requested equipment or service (e.g., formal advertising, sealed bid, state quantity purchase award, etc.).

5. SYSTEM OPERATION

a. Organization: Describe the organization of the existing or proposed transit system. Be specific, particularly as it relates to defining management and operations functions and lines of responsibility. Also, please attach an organizational chart depicting this information.

b. Service Provider (identify who will provide the service).

1) The applicant;

2) A private for-profit company or non-profit organization under contract with Applicant. Provide a list of potential private transportation companies which may bid on the transit services contract;

3) Brokerage Services Applicants must list the name of the Broker and the name, address, and telephone numbers of all public and private transportation operations located within the service area.

c. Management Plan: Describe in detail the level of experience the transportation management and operations personnel have in operating or brokering (if applicable) a transportation program.

Identify who will perform the maintenance and provide a clear and detailed explanation of the maintenance program. (Note: the Office of Transit expects all Applicants requesting vehicles, to have a plan for a preventative maintenance program. (Brokerage Services Applicants do not need to answer this question.)

d. Marketing Plan: Describe the goal of the number of passenger boardings that you hope to achieve in the next calendar year. Describe any existing and proposed promotional techniques and programs to attract ridership. At a minimum, the Office of Transit expects all applicants to design some basic public information (bus schedules, ride guides, etc.) and develop a plan for its dissemination.

6. SYSTEM PERFORMANCE

a. Describe in detail any planned procedures for monitoring and evaluating the transit system's performance. Also, identify performance standards that will be used in this monitoring program.

b. Describe any techniques planned or implemented that will help contain transit operating costs and maxi-mize operating revenues.

c. Brokerage Service Grants are required to show "improved vehicle productivity, reduced unit costs of opera-tions and services, and expanded service." Describe planned procedures for doing this.

II. PUBLIC PARTICIPATION

A. PUBLIC INVOLVEMENT

1. Public involvement is essential to providing service that will effectively satisfy the mobility needs of the community:

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a. Describe efforts to involve the public in planning this service and preparing the grant application, including any outreach efforts to engage minority and limited English proficient populations;

b. Identify any local transportation advisory committees or board(s) and provide a membership list, which identifies a breakdown of the racial composition of any non-elected committees or boards. If no such committee or board exists, the Office of Transit strongly recommends the establishment of one as a part of the public participation process for the transit service.

2. Public Hearing Requirement (CAPITAL GRANTS ONLY).

a. Each Applicant shall either hold a public hearing or provide the opportunity for a public hearing on the pro-posed capital assistance project. Sample formats for notice of public hearing and notice of opportunity to hold public hearing are provided in Appendix C & D.

A legal notice must be published once in a newspaper of general circulation in the Applicant's service area, and where applicable in the local newspapers oriented to the minority population. The notice of public hearing or notice of opportunity to hold a public hearing must be published no less than 10 days prior to the date of the hearing. All notices must be published in accordance with procedures outlined in Indiana Code 5-3-1. Each applicant must submit proof of publication from the publisher in the grant application (publisher’s claim & publisher’s affidavit).

If a notice of opportunity to hold a public hearing is published, the Applicant should answer questions and address problems that interested parties have pertaining to the project. In this case, documentation must be included in the application that discusses the questions, problems, and their resolution. If written requests for a public hearing are received that warrant a hearing being held, the Applicants must follow the procedures for advertising and holding a public hearing.

If a hearing is held, a certified verbatim transcript of that hearing must be included in the application. The applicant must address any substantive comments raised during the hearing.

III. PROJECT JUSTIFICATION

A. NEEDS ASSESSMENT

1. Please identify the transportation need(s) this grant will address. Include an estimate of the annual one-way passenger (clientele) trips to be provided.

2. How was the need, identified in question number 1 determined? Please attach any supporting documents such as, summary of survey results, planning studies, etc.

3. How do existing transportation services not meet this need?

4. How was the need for the Capital items identified in the Capital Project Budget determined? If adding or replacing a vehicle, justify need for the type of equipment you have requested. If requesting a non-lift equipped vehicle, describe how you will provide equivalent service to persons with disabilities.

B. MEETING NEEDS

1. How will this project meet the identified needs? For Brokerage Services Applicants, only a consent form signed by each passenger transportation provider agreeing to use the broker and to coordinate service must be provided.

2. How will this project complement, rather than compete with or duplicate existing services? 3. Identify how each capital item will meet needs.

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IV. FTA REQUIREMENTS AND CERTIFICATIONS

A. CERTIFICATIONS & ASSURANCES

1. Authorizing Resolution - All Applicants must have a formal authorization from their governing body before filing the application. Sample format provided in Appendix E.

2. Standard Certifications and Assurances – Several laws and administrative requirements apply in common to all Federal grant-in-aid programs, and therefore apply to the Section 5311 Program. To cover these requirements in making grants, the Office of Transit employs a “Standard Certification and Assurance” form which Applicants must submit with their grant application. This is a statement that the Applicant and recipient will comply with laws and regulations, cited herein and contained in the FTA Master Agreement, to the extent they may apply to the grant along with affirmation of the Applicants Attorney. The Assurance format is provided in ATTACHMENT 4. (ONLY RETURN PGS. 51 & 52 with Application)

3. Local Assurances - In order to receive a grant under the Section 5311 Program, the Applicant must assure that certain requirements have been met or will be met if the grant application is approved. The Applicant must make these assurances with their Section 5311 grant application that is submitted to the Office of Transit. This assurance format is provided in ATTACHMENT 5.

4. Disadvantaged Business Enterprise Program Requirements

a. All recipients of Section 5311 funds must meet the requirements of the U.S. D.O.T.'s Disadvantaged Business Enterprises Regulations 49 CFR, Part 23 & 26, as amended. Under Section 1003(b) of the Intermodal Surface Transportation and Efficiency Act, minority and women are presumed to be socially and economically disadvantaged. Accordingly, a recipient's projected utilization of minority and women-owned firms should be included in a single DBE goal. Requirements for FTA recipients are described in detail in FTA Circular 4716.1A, "Disadvantaged Business Enterprise Requirements for Recipients and Transit Vehicle Manufacturers."

b. Section 5311 recipients who reasonably anticipate awarding $250,000 or less in prime contracts in a fiscal year are not required to submit a DBE plan. This affects new 5311 funded systems who received funding on or after January 2000, and who do not already have a DBE program. This rule change would also reduce the burden on recipients who already have DBE programs. If such recipient anticipates awarding $250,000 or less in prime contracts (excluding transit vehicles) would not have to submit a DBE overall goal for that year. However, the recipients existing program must remain in effect. Recipients not required to submit a DBE program must nonetheless take the “necessary and reasonable steps” to ensure the maximum utilization of DBE’s pursuant to Section 23.43. (a)(2) of the U.S. D.O.T. regulation. Section 5311 recipients also have the obligation to track and report DBE participation levels achieved, including sufficient documentation in the recipient’s, subrecipient’s or contractor’s files to substantiate efforts undertaken to meet these obligations.

At a minimum, "the necessary and reasonable steps" include:

(1) Identification of all contracting opportunities, if any, associated with Section 5311 assistance. Use the overall project budget as the source document for this step.

(2) Analysis of DBE availability (known and projected) to provide the products or services identified for contracting at either the prime or subcontract level. This step includes making contact with organiza-tions that may be expected to have information regarding DBE contracting opportunities. Some organizations include: the Small Business Administration, the Minority Business Development Agency (U.S. Department of Commerce) and the Indiana Department of Transportation - Civil Rights Division.

(3) Establishment of contract goals for Section 5311 contracts based upon the availability analysis.

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(4) Use of good faith efforts to achieve the contract goals established. A recipient demonstrates "good faith efforts" by communicating DBE goals and commitments to all applicable parties.

Recipients shall make it known that they will only award contracts to those contractors who strive to meet contact goals and demonstrate good faith efforts to do so. All prime contractors should be required to submit information on DBE participation along with bid/proposals for contracts, as a matter of "responsiveness".

Recipients may also employ other good faith efforts including; holding pre-bid meetings to inform DBEs of opportunities, advertising contract goals in minority media, general circulation and trade association media, providing written notice to DBEs who have skills in work area needed, effectively using the services of available minority/women or community organizations, where appropriate; breaking out contract work into economically feasible units to facilitate participation, and providing DBEs with adequate opportunities to review plans, specs and/or contracting opportunities.

(5) Use of DBE firms certified under eligibility criteria of 49 CFR Part 23 & 26.

(6) Record keeping, and reporting sufficient for verification of steps taken and participation achieved.

5. Title VI Information Requirements

Each applicant must file the following information with the INDOT Office of Transit as requested and update it as necessary when changes occur:

a. A concise description, if applicable, of any lawsuits or complaints alleging discrimination on the basis of race, color, sex, sexual orientation, gender identity, national origin, age, disability, income status or limited English proficiency with respect to service or transit benefits filed against the Applicant within the past year, together with a statement of status or outcome of each such lawsuit and/or complaint.

b. A description of all pending applications for financial assistance and all financial assistance currently provided by other Federal agencies.

c. A summary of all civil rights compliance review activities conducted in the last three years.

6. Labor Protection - Section 5333(b) Requirements – ATTACHMENT 6 & 7

Section 5333(b) of the Federal Transit Act, as amended specifies that as a condition of any financial assistance, fair and equitable arrangements be made, as determined by the Secretary of Labor, to protect the interest of employees affected by such assistance. The protective arrangements shall include the provisions as set forth in the Special Section 5333(b) Warranty (Appendix F) for application to the Rural and Small Urban Transit Assistance Program.

In order to receive U.S. Department of Labor concurrence on the Special Section 5333(b) Warranty, the Applicant/Recipient must sign the Section 5333(b) Warranty, ATTACHMENT 6 and submit a complete list of all eligible providers of public transportation services and unions representing their employees within the grant project's service area. A copy of the provider information form is included as ATTACHMENT 7.

Eligible public transportation service is any transportation provided by bus, rail, shared-ride taxi, or other con-veyance, either publicly or privately owned, which provides to the public general or special service, primarily in non-urban areas, on a regular and continuing basis. The service may constitute an entire public transit system or may be an individual route or a segment of a route provided by a common carrier of passengers.

Public transportation does not include: 1) school bus, charter or sight-seeing service; 2) exclusive ride taxi service; or 3) services to individuals or groups which excludes use by the general public. It is the Applicant's responsibility to properly ascertain eligible public transportation providers in their service area.

7. Capital Grant Only Requirements

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a. Protection of the Environment

The FTA Environmental Impact and Related regulation (23 CFR Part 771) categorizes projects according to three degrees of environmental impact.

Class 1 projects will have a significant effect on the environment and require the preparation of an Environmental Impact Statement (EIS).Class 2 (Categorical Exclusion) projects are small projects that will not have a significant impact; there-fore they are excluded from the preparation of any environmental document. Class 3 projects are those in which the significance cannot be clearly or readily determined. These projects require the preparation of a brief Environmental Assessment (EA) to establish the need for an EIS or a Finding of No Significant Impact by FTA.

Most transit projects under the Section 5311 Program will fall into Class 2 projects and be classified as Categorical Exclusions (CEs) by the Office of Transit and FTA. The categories for CEs are listed below in a checklist and generally include such projects as operating assistance.

The checklist, ATTACHMENT 8 should be used to justify your project as a CE. Applicants should recommend proposed projects as CEs that are not listed. However, the decision to exclude a project from the requirements of an environmental document rests with the FTA Region V Office in Chicago, Illinois. To assist in this decision, the Applicant should supply a detailed project description along with a description and map of the land use in the area immediately surrounding the proposed project site. For certain categorical exclusions involving construction (see 23 CFR 771.113(b)(2)), FTA may require additional information to help determine if the criteria for a categorical exclusion have been met.

8. Use of Equipment, Facilities & Property Certification – ATTACHMENT 9 Certification that Project equipment, facilities and property continue to be used in accordance with the terms and conditions of all applicable capital agreements.

9. Pass-Through Agreement – ATTACHMENT 10

Eligible recipients of Section 5311 funds from INDOT are limited to units of government authorized under state law to provide and carry out a local public transportation project. Eligible applicants include the State of Indiana, counties, cities or towns, Public Transportation Corporations (PTC) or Regional Transportation Authorities (RTA). The Federal Transit Administration (FTA) permits the states to use an eligible recipient as a “pass-through” in order to provide project funds to another eligible recipient when the lower tier recipient would also be an eligible recipient. Thus, FTA allows the state to pass-through funds to private non-profit agencies as long as those agencies are considered eligible recipients.

If you are not the direct recipient of Section 5311 funds, but you are the pass-through recipient, you need to complete the Pass-Through Agreement between the eligible recipient and the pass-through recipient.

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ATTACHMENT 1 OPERATING BUDGET 5311 SYSTEM NAME: (double click grey box) INSERT SYSTEM NAMEPROJECT TIME PERIOD: January 1, 2019 to December 31, 2019

OPERATING PROJECT BUDGET (please double-click spreadsheet to enter figures)

Prepared by:       Date:      

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ATTACHMENT 1 (continued) - Explanation of Terms

Item 1 - Eligible ExpensesEligible Expenses are those costs incurred in the operation and administration of the transit service during the project period, and which are eligible for reimbursement under state and federal assistance programs. OMB Circular No. A-87, Attachment B outlines costs that are eligible for reimbursement under all federal grant programs.

Some of the more common ineligible items include: entertainment; fines and penalties; charitable donations, and interest expense on long-term borrowing and debt retirement. In addition, the following five items are, in general, ineligible for Section 5311 assistance:

Costs of advisory councils are ineligible unless the Office of Transit grants prior approval.

For private mass transportation operators, provisions for federal, state, or local income taxes.

Indirect transit-related functions or activities of regional or local entities performed as a normal or direct aspect of general public administration (e.g. expenses of a city council in considering transit matters).

Depreciation accrued by public operators, depreciation on facilities or equipment purchased with public (i.e., federal, state or local) capital assistance, depreciation of an intangible asset, and/or depreciation in excess of the rate otherwise used for income tax purposes are ineligible.

Expenses for contingencies.

Item 3 - Farebox and Other RevenuesAll revenue sources used to cover eligible operating expenses must be represented in the project budget. Item 3 represents those revenues used to cover eligible expenses. These revenues cannot be included in Item 6(a) "local match". At a minimum, this category includes revenues from fares, discount fares and contra-expenses. Brokerage user fees should be identified under Revenue Category 406 - Auxiliary Transportation, if applicable.

Contra-expenses are revenue sources which directly offset transit expenses and which are therefore eliminated from the "net operating expense" (i.e., deficit) eligible for Section 5311 assistance. See Appendix A for common types of contra-expenses.

Item 6 - Eligible Local Share for Operating and Capital GrantsThe eligible local share for a Section 5311 grant must be from non-FTA sources of funding, and can include local and/or state sources, and/or unrestricted federal/state funds. At least 50% of the local share must be provided in cash or cash equivalent from sources other than unrestricted federal/state funds.

Examples of local share funds are local appropriations, dedicated tax revenues and net income generated from advertising and concessions. Funds derived from purchase of service contracts may be treated either as local cash share or as operating revenue. The other half of the local share may be made up of unrestricted funds from other federal/state programs if so authorized by that program's Grantor Agency.

Unrestricted Federal/State Funds – Federal/State Funds are unrestricted when a Federal/State agency permits its funds to match Section 5311 funds. A current list of funds that can be used to match Section 5311 funds is available from Office of Transit. The Applicants are responsible for identifying unrestricted funds because they are held accountable by the other Federal or State Grantor agencies involved. Local funds used to match unrestricted Federal/State funds must be treated as unrestricted Federal/State funds. These sources of funds may not exceed 50% of the total local share.

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ATTACHMENT 1 (continued) - Explanation of Terms

In-kind, Donations, Volunteers - In-kind contributions, volunteer services, and donations are eligible as part of the "cash" share of the local match. Such non-cash sources of local match are eligible only if the value of each is formally documented and supported. Guidance on this subject is provided in the Common Rule 49 CFR Part 18. All in-kind sources must have prior INDOT approval to be eligible as local match.

Item 6(b) - State Match, Public Mass Transportation Fund (PMTF)Existing grantees of state funds are eligible for continued funding from this state assistance program. If they have not received State PMTF funding information by the time they have completed their project budget, then contact the Office of Transit for this information. Please note that in-kind labor services and contra-expenses are not allowed as local match to PMTF funds.

Cost Allocation Plan Does the Applicant propose to claim reimbursement for indirect or shared costs?

Yes____ No____

If yes, INDOT requires the submission of an approved Cost Allocation Plan. The Cost Allocation Plan must be submitted and approved by INDOT for indirect cost to be reimbursed. Otherwise, INDOT will NOT reimburse indirect operating cost.

Cost Allocation Plans should include the following (Separate Template Attached): Letter to INDOT requesting approval Mission Statement Organizational Chart for your agency A copy of the grantees A-133 audit or if you do not prepare a A-133 audit, the audited financial statements

prepared by the organization’s independent CPA Support worksheets of expenses & computation of indirect rate Signed Certificate of Indirect Costs

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10% -/+ DIFFERENCE EXPLANATION SHEET

PLEASE IDENTIFY LOCAL MATCH

FUNDING SOURCE AMOUNT

All local match identified above is certified and assured as described in 01.G. U.S. OMB Assurances in SF-424B and SF-424D (pg.23) as well as Attachment 5 Local Assurances

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ATTACHMENT 3

5339 CAPITAL PROJECT BUDGET (double-click spreadsheet to enter figures)SYSTEM NAME: (double click grey box)      PROJECT TIME PERIOD: January 1, 2019 through June 30, 2020

Double Click in Spreadsheet

Prepared by:       Date:      

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ATTACHMENT 4

FTA FISCAL YEAR 2018 CERTIFICATIONS AND ASSURANCES

01. CERTIFICATIONS AND ASSURANCES REQUIRED OF EACH APPLICANT(ONLY SUBMIT CHECKLIST AND SIGNATURE pgs. (51 & 52) with APPLICATION)

Each Applicant for Federal Section 5311 funds awarded through the Indiana Department of Transportation must make all applicable certifications and assurances in this section. Accordingly the Federal Transit Administration may not award any Federal assistance until the Applicant provides assurances of compliance by selecting the applicable Categories on the signature page at the end of this section. Category 01 applies to all Applicants. Category 02 applies to all applications for Federal assistance in excess of $100,000, unless your applicant is an Indian tribe or organization or a tribal organization. Categories 03 through 21 will apply to and be required for some, but not all, Applicants and projects. Please be aware, this process ONLY excludes you from submitting documents with your application, NOT from collecting documents and having them on file.

The Applicant also understands and agrees that these certifications and assurances are special pre-award requirements specifically prescribed by Federal law or regulation and do not encompass all Federal laws, regulations, and directives that may apply to the Applicant or its project. A comprehensive list of those Federal laws, regulations, and directives is contained in the current FTA Master Agreement, MA(23), for Federal Fiscal Year 2017 at the FTA website http://www.fta.dot.gov/.

01.A. Certifications and Assurances of Authority of the Applicant and Its Authorized Representative.

You certify and affirm that in signing these Certifications, Assurances, and Agreements, both you, as your Applicant’s Authorized Representative, and your Applicant’s attorney who is authorized to represent your Applicant in legal matters, may undertake the following activities on your Applicant’s behalf, in compliance with applicable state, local, or Indian tribal laws, regulations, and requirements and your Applicant’s by-laws or internal rules: 1. Execute and file its application for federal assistance, 2. Execute and file its Certifications, Assurances, Charter Service Agreement, and School Bus Agreement, as applicable, binding its compliance, 3. Execute its Grant Agreement, Cooperative Agreement, Loan, Loan Guarantee, Line of Credit, Master Credit Agreement, or State Infrastructure Bank (SIB) Cooperative Agreement for which the Applicant is seeking federal assistance from FTA, 4. Comply with applicable federal laws, regulations, and requirements, and 5. Follow applicable federal guidance.

01.B. Standard Assurances. On behalf of your Applicant, you assure that it understands and agrees to the following: 1. It will comply with all applicable federal laws, regulations, and requirements in implementing its Award. 2. It is under a continuing obligation to comply with the terms and conditions of its Grant Agreement or Cooperative Agreement with FTA for each Award, including the FTA Master Agreement and other documents incorporated by reference and made part of its Grant Agreement or Cooperative Agreement, or latest amendment thereto. 3. It recognizes that federal laws, regulations, and requirements may be amended from time to time and those amendments may affect the implementation of its Award. 4. It understands that Presidential executive orders and federal guidance, including federal policies and program guidance, may be issued concerning matters affecting it or its Award. 5. It agrees that the most recent federal laws, regulations, requirements, and guidance will apply to its Award, except as FTA determines otherwise in writing.

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6. Except as FTA determines otherwise in writing, it agrees that requirements for FTA programs may vary depending on the fiscal year for which the federal assistance for those programs was appropriated or made available.

01.C. Intergovernmental Review Assurance. (This assurance in this Category 01.C does not apply to an Indian tribe, an Indian organization, or an Indian tribal organization that applies for federal assistance made available under 49 U.S.C. § 5311(c)(1), which authorizes FTA’s Tribal Transit Programs.)

As required by U.S. Department of Transportation (U.S. DOT) regulations, “Intergovernmental Review of Department of Transportation Programs and Activities,” 49 CFR part 17, on behalf of your Applicant, you assure that it has submitted or will submit each application for federal assistance to the appropriate state and local agencies for intergovernmental review.

01.D. Nondiscrimination Assurance. On behalf of your Applicant, you assure that: 1. It will comply with the following laws, regulations, and requirements so that no person in the United States will be denied the benefits of, or otherwise be subjected to discrimination in, any U.S. DOT or FTA assisted program or activity (particularly in the level and quality of transportation services and transportation-related benefits) on the basis of race, color, national origin, religion, sex, disability, or age including: a. Federal transit laws, specifically 49 U.S.C. § 5332 (prohibiting discrimination on the basis of race, color, religion, national origin, sex (including gender identity), disability, age, employment, or business opportunity), b. Title VI of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000d,c. Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq. (prohibiting discrimination on the basis of race, color, religion, sex, (including gender identity and sexual orientation) or national origin), d. Executive Order No. 11246, “Equal Employment Opportunity” September 24, 1965, 42 U.S.C. § 2000e note, as amended by any later Executive Order that amends or supersedes it in part and is applicable to federal assistance programs, e. Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. § 1681 et seq., f. U.S. DOT regulations, “Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance,” 49 C.F.R. part 25, g. The Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794, et seq., h. The Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12101 et seq., i. U.S. DOT regulations, “Nondiscrimination in Federally-Assisted Programs of the Department of Transportation-Effectuation of Title VI of the Civil Rights Act of 1964,” 49 CFR part 21, j. U.S. DOT regulations, specifically 49 CFR parts 27, 37, 38, and 39, and k. Any other applicable federal statutes that may be signed into law, federal regulations that may be issued, or federal requirements that may be imposed. 2. It will comply with federal guidance implementing federal nondiscrimination laws, regulations, or requirements, except as FTA determines otherwise in w 5riting. 3. As required by 49 CFR § 21.7: a. It will comply with 49 U.S.C. § 5332, 42 U.S.C. § 2000d, and 49 CFR part 21 in the manner that:(1) It implements its Award(2) It undertakes property acquisitions, and(3) It operates all parts of its facilities, as well as its facilities operated in connection with its Award.b. This assurance applies to its Award and to all parts of its facilities, as well as its facilities used to implement its Award.c. It will promptly take the necessary actions to carry out this assurance, including the following:(1) Notifying the public that discrimination complaints about transportation-related services or benefits may be filed with U.S. DOT or FTA Headquarters Office of Civil Rights, and(2) Submitting information about its compliance with these provisions to U.S. DOT or FTA upon their request.

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d. If it transfers U.S. DOT or FTA assisted real property, structures, or improvements to another party, any deeds and instruments recording that transfer will contain a covenant running with the land assuring nondiscrimination: (1) While the property is used for the purpose that the federal assistance is extended, or (2) While the property is used for anoth er purpose involving the provision of similar services or benefits. e. The United States has a right to seek judicial enforcement of any matter arising under: (1) Title VI of the Civil Rights Act, 42 U.S.C. § 2000d, (2) U.S. DOT regulations, 49 CFR part 21, or (3) This assurance. f. It will make any changes in its Title VI implementing procedures, as U.S. DOT or FTA may request, to comply with: (1) Title VI of the Civil Rights Act, 42 U.S.C. § 2000d, (2) U.S. DOT regulations, 49 CFR part 21, and (3) Federal transit law, 49 U.S.C. § 5332. g. It will comply with applicable federal guidance issued to implement federal nondiscrimination requirements, except as FTA determines otherwise in writing. h. It will extend the requirements of 49 U.S.C. § 5332, 42 U.S.C. § 2000d, and 49 CFR part 21 to each Third Party Participant, including any: (1) Subrecipient, (2) Transferee, (3) Third Party Contractor or Subcontractor at any tier, (4) Successor in Interest, (5) Lessee, or (6) Other Participant in its Award, except FTA and the Applicant (and later, the Recipient). i. It will include adequate provisions to extend the requirements of 49 U.S.C. § 5332, 42 U.S.C. § 2000d, and 49 CFR part 21 to each third party agreement, including each: (1) Subagreement at any tier, (2) Property transfer agreement,j. The assurances you have made on your Applicant’s behalf remain in effect as long as FTA determines appropriate, including, for example, as long as: (1) Federal assistance is provided for its Award, (2) Its property acquired or improved with federal assistance is used for a purpose for which the federal assistance is extended, or for a purpose involving similar services or benefits, (3) It retains ownership or possession of its property acquired or improved with federal assistance provided for its Award, (4) It transfers property acquired or improved with federal assistance, for the period during which the real property is used for a purpose for which the financial assistance is extended or for another purpose involving the provision of similar services or benefits, or (5) FTA may otherwise determine in writing. 4. As required by U.S. DOT regulations, “Nondiscrimination on the Basis of Handicap in Programs and Activities Receiving or Benefiting from Federal Financial Assistance,” 49 CRF part 27, specifically 49 CRF 27.9, and consistent with 49 U.S.C. 5332, you assure that:a. It will comply with the following prohibitions against discrimination based on disability listed below in subsection 4.b of this Category 01.D Assurance, of which compliance is a condition of approval or extension of any FTA assistance awarded to:(1) Construct any facility,(2) Obtain any rolling stock or other equipment,(3) Undertake studies,(4) Conduct research, or(5) Participate in any benefit or obtain any benefit from any FTA administered program.b. In any program or activity receiving or benefiting from federal assistance that U.S. DOT administered, no qualified individual with a disability will, because of his or her disability, be:(1) Excluded from participation,(2) Denied benefits, or(3) Otherwise subjected to discrimination.

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01.E. Procurement Certification. The Applicant agrees to comply with:a. U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR part 200, particularly 2 CFR § 200.317-26 “Procurement Standards;”b. Federal laws, regulations, and requirements applicable to FTA procurements; and c. The latest edition of FTA Circular 4220.1 and other applicable federal guidance.

01.F. Suspension and Debarment, Tax Liability, and Felony Convictions Certifications.

01.F.1 Suspension and Debarment.

On behalf of your Applicant, you certify that: a. It will comply and facilitate compliance with U.S. DOT regulations, “Nonprocurement Suspension and Debarment,” 2 CFR part 1200, which adopts and supplements the U.S. Office of Management and Budget (U.S. OMB) “Guidelines to Agencies on Governmentwide Debarment and Suspension (Nonprocurement),” 2 CFR part 180. b. To the best of its knowledge and belief, that its Principals and Subrecipients at the first tier: (1) Are eligible to participate in covered transactions of any federal department or agency and are not presently: (a) Debarred, (b) Suspended,(c) Proposed for debarment(d) Declared ineligible,(e) Voluntarily excluded, or(f) Disqualified.(2) Within a three-year period preceding its latest application or proposal, its management has not been convicted of or had a civil judgment rendered against any of them for:(a) Commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (federal, state, or local) transaction, or contract under a public transaction,(b) Violation of any federal or state antitrust statute, or(c) Commission of embezzlement, theft, forgery, bribery, falsification or destruction of records, making any false statement, or receiving stolen property.(3) It is not presently indicted for or otherwise criminally or civilly charged by a governmental entity (federal, state, or local) with commission n of any of the offenses listed in the preceding subsection 2.b of this Certification.(4) It has not had one or more public transactions (federal, state, or local) terminated for cause of default within a three-year period preceding this Certification.(5) If, at a later time, it receives any information that contradicts the preceding statements of subsections 2.a – 2.d of the Category 01.E Certification, it will promptly provide that information to FTA.(6) It will treat each lower tier contract or subcontract under its Award as a covered lower tier contract for purposes of 2 CFR part 1200 and 2 CFR part 180 if it:(a) Equals or exceeds $25,000,(b) Is for audit services, or(c) Requires the consent of a federal official.(7) It will require that each covered lower tier contractor and subcontractor:(a) Comply and facilitate ompliance with the federal requirements of 2 CFR parts 180 and 1200, and(b) Assure that each lower tier participant in its Award is not presently declared by any federal department or agency to be:1 Debarred from participation in any federally assisted Award, 2 Suspended from participation in any federally assisted Award, 3 Proposed for debarment from participation in any federally assisted Award, 4 Declared ineligible to participate in any federally assisted Award, 5 Voluntarily excluded from participation in any federally assisted Award, or 6 Disqualified from participation in any federally assisted Award.

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c. It will provide a written explanation if it or any of its principals, including any of its first tier Subrecipients or its Third Party Participants at a lower tier, is unable to certify compliance with the preceding statements in this Category 01.E.1 Certification. 01.F.2. Tax Liability. If your Applicant is a private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association, on behalf of your Applicant, you certify that:a. Your Applicant and its prospective Subrecipients have no unpaid federal tax liability that has been assessed, for which all judicial and administrative remedies have been exhausted or have lapsed, and that is not being paid in a timely manner pursuant to an agreement with the authority responsible for collecting the tax liability. b. Your Applicant and its Subrecipients will follow applicable U.S. DOT guidance when issued. 01.F.3. Felony Convictions. If your Applicant is a private corporation, partnership, trust, joint-stock company, sole proprietorship, or other business association, on behalf of your Applicant, you certify that:a. Your Applicant and its prospective Subrecipients have not been convicted of a felony criminal violation under any federal law within the preceding 24 months. b. Your Applicant and its Subrecipients will follow applicable U.S. DOT guidance when it is issued.

01.G. U.S. OMB Assurances in SF-424B and SF-424D. The assurances in this Category 01.G are consistent with the U.S. OMB assurances required in the U.S. OMB SF-424B and SF-424D, and updated as necessary to reflect changes in federal laws, regulations, and requirements. 1. Administrative Activities. On behalf of your Applicant, you assure that: a. For any application it submits for federal assistance, it has adequate resources to plan, manage, and properly complete the tasks to implement its Award, including: (1) The legal authority to apply for federal assistance, (2) The institutional capability, (3) The managerial capability, and (4) The financial capability (including funds sufficient to pay the non-federal share of the cost of incurred under its Award). b. As required, it will give access and the right to examine materials related to its Award to the following entities or individuals, including, but not limited to: (1) FTA, (2) The Comptroller General of the United States, and (3) The State, through an appropriate authorized representative. c. It will establish a proper accounting system in accordance with generally accepted accounting standards or FTA guidance. d. It will establish safeguards to prohibit employees from using their positions for a purpose that results in: (1) A personal or organizational conflict of interest or personal gain, or (2) An appearance of a personal or organizational conflict of interest or personal gain. 2. Specifics of the Award. On behalf of your Applicant, you assure that: a. It will begin and complete work within the period of performance that applies following receipt of an FTA Award. b. For FTA assisted construction Awards: (1) It will comply with FTA provisions concerning the drafting, review, and approval of construction plans and specifications, (2) It will provide and maintain competent and adequate engineering supervision at the construction site to assure that the completed work conforms to the approved plans and specifications, (3) It will include a covenant to assure nondiscrimination during the useful life of the real property financed under its Award in its title to that real property,

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(4) To the extent FTA requires, it will record the federal interest in the title to FTA assisted real property or interests in real property, and (5) It will not alter the site of the FTA assisted construction or facilities without permission or instructions from FTA by: (a) Disposing of the underlying real property or other interest in the site and facilities, (b) Modifying the use of the underlying real property or other interest in the site and facilities, or (c) Changing the terms of the underlying real property title or other interest in the site and facilities. c. It will furnish progress reports and other information as FTA or the state may require. 3. Statutory and Regulatory Requirements. On behalf of your Applicant, you assure that: a. Your Applicant will comply with all federal laws, regulations, and requirements relating to nondiscrimination that apply, including, but not limited to: (1) The prohibitions against discrimination on the basis of race, color, or national origin, as provided in Title VI of the Civil Rights Act, 42 U.S.C. § 2000d. (2) The prohibitions against discrimination on the basis of sex, as provided in: (a) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C. §§ 1681 – 1683, and 1685 – 1687, and (b) U.S. DOT regulations, “Nondiscrimination on the Basis of Sex in Education Programs or Activities Receiving Federal Financial Assistance,” 49 CFR part 25. (3) The prohibitions against discrimination on the basis of age in federally assisted programs, as provided in the Age Discrimination Act of 1975, as amended, 42 U.S.C. §§ 6101 – 6107. (4) The prohibitions against discrimination on the basis of disability in federally assisted programs, as provided in section 504 of the Rehabilitation Act of 1973, as amended, 29 U.S.C. § 794. (5) The prohibitions against discrimination on the basis of disability, as provided in the Americans with Disabilities Act of 1990, as amended, 42 U.S.C. § 12101 . (6) The prohibitions against discrimination in the sale, rental, or financing of housing, as provided in Title VIII of the Civil Rights Act, 42 U.S.C. § 3601 et seq. (7) The prohibitions against discrimination on the basis of drug abuse, as provided in the Drug Abuse Office and Treatment Act of 1972, as amended, 21 U.S.C. § 1101 et seq. (8) The prohibitions against discrimination on the basis of alcohol abuse, as provided in the Comprehensive Alcohol Abuse and Alcoholism Prevention Act of 1970, as amended, 42 U.S.C. § 4541 et seq. (9) The confidentiality requirements for records of alcohol and drug abuse patients, as provided in the Public Health Service Act, as amended, 42 U.S.C. § 290dd – 290dd-2. (10) The prohibitions against discrimination in employment as provided in Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq., (11) The nondiscrimination provisions of any other statute(s) that may apply to its Award. b. As provided by the Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, as amended (Uniform Relocation Act), 42 U.S.C. § 4601 et seq., and 49 U.S.C. § 5323(b), regardless of whether federal assistance has been provided for any real property acquired or improved for purposes of its Award: (1) It will provide for fair and equitable treatment of any displaced persons or any persons whose property is acquired or improved as a result of federally assisted programs. (2) It has the necessary legal authority under state and local laws, regulations, and requirements to comply with: (a) The Uniform Relocation Act. 42 U.S.C. § 4601 et seq., as specified by 42 U.S.C. §§ 4630 and 4655, and (b) U.S. DOT regulations, “Uniform Relocation Assistance and Real Property Acquisition for Federal and Federally Assisted Programs,” 49 CFR part 24, specifically 49 CFR § 24.4. (3) It has complied with or will comply with the Uniform Relocation Act and implementing U.S. DOT regulations because: (a) It will adequately inform each affected person of the benefits, policies, and procedures provided for in 49 CFR part 24. (b) As provided by 42 U.S.C. §§ 4622, 4623, and 4624, and 49 CFR part 24, if its Award results in displacement, it will provide fair and reasonable relocation payments and assistance to: 1 Displaced families or individuals, and 2 Displaced corporations, associations, or partnerships.

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(c) As provided by 42 U.S.C. § 4625 and 49 CFR part 24, it will provide relocation assistance programs offering the services described in the U.S. DOT regulations to such: 1 Displaced families and individuals, and 2 Displaced corporations, associations, or partnerships. (d) As provided by 42 U.S.C. § 4625(c)(3), within a reasonable time before displacement, it will make available comparable replacement dwellings to families and individuals. (e) It will do the following: 1 Carry out the relocation process to provide displaced persons with uniform and consistent services, and 2 Make available replacement housing in the same range of choices with respect to such housing to all displaced persons regardless of race, color, religion, or national origin. (f) It will be guided by the real property acquisition policies of 42 U.S.C. §§ 4651 and 4652. (g) It will pay or reimburse property owners for their necessary expenses as specified in 42 U.S.C. §§ 4653 and 4654, understanding that FTA will provide federal assistance for its eligible costs of providing payments for those expenses, as required by 42 U.S.C. § 4631. (h) It will execute the necessary implementing amendments to FTA assisted third party contracts and subagreements. (i) It will execute, furnish, and be bound by such additional documents as FTA may determine necessary to effectuate or implement these assurances. (j) It will incorporate these assurances by reference into and make them a part of any third party contract or subagreement, or any amendments thereto, related to its Award that involves relocation or land acquisition. (k) It will provide in any affected document that these relocation and land acquisition provisions must supersede any conflicting provisions. c. It will comply with the Lead-Based Paint Poisoning Prevention Act, specifically 42 U.S.C. § 4831(b), which prohibits the use of lead-based paint in the construction or rehabilitation of residence structures. d. It will, to the extent applicable, comply with the protections for human subjects involved in research, development, and related activities supported by federal assistance of: (1) The National Research Act, as amended, 42 U.S.C. § 289 et seq., and (2) U.S. DOT regulations, “Protection of Human Subjects,” 49 CFR part 11. e. It will, to the extent applicable, comply with the labor standards and protections for federally assisted Awards of: (1) The Davis-Bacon Act, as amended, 40 U.S.C. §§ 3141 – 3144, 3146, and 3147, (2) Sections 1 and 2 of the Copeland “Anti-Kickback” Act, as amended, 18 U.S.C. § 874, and 40 U.S.C. § 3145, respectively, and (3) The Contract Work Hours and Safety Standards Act, as amended, 40 U.S.C. § 3701 et seq. f. It will comply with any applicable environmental standards prescribed to implement federal laws and executive orders, including, but not limited to: (l) Complying with the institution of environmental quality control measures under the National Environmental Policy Act of 1969, as amended, 42 U.S.C. §§ 4321 – 4335 and following Executive Order No. 11514, as amended, 42 U.S.C. § 4321 note. (2) Following the notification of violating facilities provisions of Executive Order No. 11738, 42 U.S.C. § 7606 note. (3) Following the protection of wetlands provisions of Executive Order No. 11990, 42 U.S.C. § 4321 note. (4) Following the evaluation of flood hazards in the floodplains provisions of Executive Order No. 11988, May 24, 1977, 42 U.S.C. § 4321 note, and Executive Order No. 13690 “Establishing a Federal Flood Risk Management Standard and a Process for Further Soliciting and Considering Stakeholder Input, January 30, 2015. (5) Complying with the assurance of consistency with the approved state management program developed pursuant to the Coastal Zone Management Act of 1972, as amended, 16 U.S.C. §§ 1451 – 1465. (6) Complying with the Conformity of Federal Actions to State (Clean Air) Implementation Plans requirements under section 176(c) of the Clean Air Act of 1970, as amended, 42 U.S.C. §§ 7401 – 7671q. (7) Complying with protections for underground sources of drinking water under the Safe Drinking Water Act of 1974, as amended, 42 U.S.C. § 300f – 300j-6. (8) Complying with the protections for endangered species under the Endangered Species Act of 1973, as amended, 16 U.S.C. §§ 1531 – 1544.

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(9) Complying with the environmental protections for federal transportation programs, including, but not limited to, protections for parks, recreation areas, or wildlife or waterfowl refuges of national, state, or local significance or any land from a historic site of national, state, or local significance to be used in a transportation Award, as required by 49 U.S.C. § 303 (also known as “Section 4f”). (10) Complying with the protections for national wild and scenic rivers systems, as required under the Wild and Scenic Rivers Act of 1968, as amended, 16 U.S.C. §§ 1271 – 1287. (11) Complying with and facilitating compliance with: (a) Section 106 of the National Historic Preservation Act of 1966, as amended, 54 U.S.C. § 300108, (b) The Archaeological and Historic Preservation Act of 1974, as amended, 54 U.S.C. § 312501 et seq., and (c) Executive Order No. 11593 (identification and protection of historic properties), 54 U.S.C. § 300101. g. To the extent applicable, it will comply with the following federal requirements for the care, handling, and treatment of warm-blooded animals held or used for research, teaching, or other activities supported with federal assistance: (1) The Animal Welfare Act, as amended, 7 U.S.C. § 2131 et seq., and (2) U.S. Department of Agriculture regulations, “Animal Welfare,” 9 CFR subchapter A, parts 1, 2, 3, and 4. h. To the extent applicable, it will obtain a certificate of compliance with the seismic design and construction requirements of U.S. DOT regulations, “Seismic Safety,” 49 CFR part 41, specifically 49 CFR § 41.117(d), before accepting delivery of any FTA assisted buildings. i. It will comply with and assure that each of its Subrecipients located in special flood hazard areas will comply with section 102(a) of the Flood Disaster Protection Act of 1973, as amended, 42 U.S.C. § 4012a(a), by: (1) Participating in the federal flood insurance program, and (2) Purchasing flood insurance if the total cost of insurable construction and acquisition is $10,000 or more. j. It will comply with: (1) The Hatch Act, 5 U.S.C. §§ 1501 – 1508, 7324 – 7326, which limits the political activities of state and local agencies and their officers and employees whose primary employment activities are financed in whole or part with federal assistance, including a federal loan, grant agreement, or cooperative agreement, and (2) 49 U.S.C. § 5323(l)(2) and 23 U.S.C. § 142(g), which provide an exception from Hatch Act restrictions for a nonsupervisory employee of a public transportation system (or of any other agency or entity performing related functions) receiving federal assistance appropriated or made available under 49 U.S.C. chapter 53 and 23 U.S.C. § 142(a)(2) to whom the Hatch Act does not otherwise apply. k. It will perform the financial and compliance audits as required by the: (1) Single Audit Act Amendments of 1996, 31 U.S.C. § 7501 et seq., (2) U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR part 200, and (3) Most recent applicable U.S. OMB Compliance Supplement, 2 CFR part 200, appendix XI (previously known as the U.S. OMB Circular A-133 Compliance Supplement). l. It will comply with all other federal laws, regulations, and requirements that apply. m. It will follow federal guidance governing it and its Award, except as FTA has expressly approved otherwise in writing.

CATEGORY 02. LOBBYING. Before FTA may provide federal assistance for a grant or cooperative agreement exceeding $100,000 or a loan, line of credit, loan guarantee, or loan insurance exceeding $150,000, you must select the Lobbying Certifications in Category 02, unless your Applicant is an Indian Tribe, Indian organization, or an Indian tribal organization exempt from the requirements of 31 U.S.C. § 1352, and/or except as FTA determines otherwise in writing. Any provision of the Certifications in Category 02 that does not apply will not be enforced. On behalf of your Applicant, you certify that:

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1. As required by 31 U.S.C. § 1352 and U.S. DOT regulations, “New Restrictions on Lobbying,” specifically 49 CFR § 20.110: a. The lobbying restrictions of this Certification apply to its requests: (1) For $100,000 or more in federal assistance for a grant or cooperative agreement, and (2) For $150,000 or more in federal assistance for a loan, line of credit, loan guarantee, or loan insurance, and b. Your Certification on your Applicant’s behalf applies to the lobbying activities of: (1) The Applicant, (2) Its Principals, and (3) Its Subrecipients at the first tier. 2. To the best of your knowledge and belief: a. No federal appropriated funds have been or will be paid by your Applicant or on its behalf to any person to influence or attempt to influence: (1) An officer or employee of any federal agency regarding the award of a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance, or (2) A Member of Congress, an employee of a member of Congress, or an officer or employee of Congress regarding the award of a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance. b. Your Applicant will submit a complete OMB Standard Form LLL (Rev. 7-97), “Disclosure of Lobbying Activities,” consistent with the instructions on that form, if any funds other than federal appropriated funds have been or will be paid to any person to influence or attempt to influence: (1) An officer or employee of any federal agency regarding the award of a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance, or (2) A Member of Congress, an employee of a member of Congress, or an officer or employee of Congress regarding the award of a: (a) Federal grant or cooperative agreement, or (b) Federal loan, line of credit, loan guarantee, or loan insurance. c. Your Applicant will include the language of this Certification in its Award documents under a federal grant, cooperative agreement, loan, line of credit, or loan insurance including, but not limited to: (1) Each third party contract, (2) Each third party subcontract, (3) Each subagreement, and (4) Each third party agreement. 3. Your Applicant understands that: a. This Certification is a material representation of fact that the Federal Government relies on, and b. It must submit this Certification before the Federal Government may award federal assistance for a transaction covered by 31 U.S.C. § 1352, including a: (1) Federal grant or cooperative agreement, or (2) Federal loan, line of credit, loan guarantee, or loan insurance. 4. Your Applicant understands that any person who does not file a required Certification will incur a civil penalty of not less than $10,000 and not more than $100,000 for each such failure.

CATEGORY 03. PRIVATE SECTOR PROTECTIONS.

Before FTA may provide federal assistance for an Award that involves the acquisition of public transportation property or the operation of public transportation facilities or equipment, you must select the Private Property Protections Assurances in Category 03.A and enter into the Agreements in Category 03.B and Category 03.C on behalf of your Applicant, except as FTA determines otherwise in writing. Any provision of the Assurances and Agreements in Category 03 that does not apply will not be enforced. 03.A. Private Property Protections.

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If your Applicant is a state, local government, or Indian tribal government and seeks federal assistance from FTA to acquire the property of a private transit operator or operate public transportation in competition with or in addition to a public transportation operator, the Private Property Protections Assurances in Category 03.A apply to your Applicant, except as FTA determines otherwise in writing. To facilitate FTA’s ability to make the findings required by 49 U.S.C. § 5323(a)(1), on behalf of your Applicant, you assure that: 1. Your Applicant has or will have: a. Determined that the federal assistance it has requested is essential to carrying out its Program of Projects as required by 49 U.S.C. §§ 5303, 5304, and 5306, b. Provided for the participation of private companies engaged in public transportation to the maximum extent feasible, and c. Paid just compensation under state or local laws to the company for any franchise or property acquired. 2. Your Applicant has completed the actions described in the preceding section 1 of this Category 04.A Certification before: a. It acquires the property or an interest in the property of a private provider of public transportation, or b. It operates public transportation equipment or facilities: (1) In competition with transportation service provided by an existing public transportation operator, or (2) In addition to transportation service provided by an existing public transportation operator. 03.B. Charter Service Agreement. If your Applicant seeks federal assistance from FTA to acquire or operate transit facilities or equipment, the Charter Service Agreement in Category 04.B applies to your Applicant, except as FTA determines otherwise in writing. To comply with 49 U.S.C. § 5323(d) and (g) and FTA regulations, “Charter Service, 49 CFR part 604, specifically 49 CFR § 604.4, on behalf of your Applicant, you are entering into the following Charter Service Agreement: 1. FTA’s “Charter Service” regulations apply as follows: a. FTA’s Charter Service regulations restrict transportation by charter service using facilities and equipment acquired or improved under an Award derived from: (1) Federal transit laws, 49 U.S.C. chapter 53, (2) 23 U.S.C. §§ 133 or 142, or (3) Any other Act that provides federal public transportation assistance, unless otherwise excepted. b. FTA’s charter service restrictions extend to: (1) Your Applicant, when it receives federal assistance appropriated or made available for: (a) Federal transit laws, 49 U.S.C. chapter 53, (b) 23 U.S.C. §§ 133 or 142, or (c) Any other Act that provides federal public transportation assistance, unless otherwise excepted. (2) Any Third Party Participant that receives federal assistance derived from: (a) Federal transit laws, 49 U.S.C. chapter 53, (b) 23 U.S.C. §§ 133 or 142, or (c) Any other Act that provides federal public transportation assistance, unless otherwise excepted. c. A Third Party Participant includes any: (1) Subrecipient at any tier, (2) Lessee, (3) Third Party Contractor or Subcontractor at any tier, and (4) Other Third Party Participant in its Award. d. You and your Applicant agree that neither it nor any governmental authority or publicly owned operator that receives federal public transportation assistance appropriated or made available for its Award will engage in charter service operations, except as permitted under: (1) Federal transit laws, specifically 49 U.S.C. § 5323(d) and (g), (2) FTA regulations, “Charter Service,” 49 CFR part 604, to the extent consistent with 49 U.S.C. § 5323(d) and (g), (3) Any other federal Charter Service regulations, or (4) Federal guidance, except as FTA determines otherwise in writing. e. You and your Applicant agree that the latest Charter Service Agreement selected in its latest annual Certifications and Assurances is incorporated by reference and made part of the Underlying Agreement accompanying its Award of federal assistance from FTA.

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f. You and your Applicant agree that: (1) FTA may require corrective measures or impose remedies on it or any governmental authority or publicly owned operator that receives federal assistance from FTA that has demonstrated a pattern of violating of FTA’s Charter Service regulations by: (a) Conducting charter operations prohibited by federal transit laws and FTA’s Charter Service regulations, or (b) Otherwise violating its Charter Service Agreement selected in its latest annual Certifications and Assurances. (2) These corrective measures and remedies may include: (a) Barring your Applicant or any Third Party Participant operating public transportation under its Award that has provided prohibited charter service from receiving federal assistance from FTA, (b) Withholding an amount of federal assistance as provided by Appendix D to FTA’s Charter Service regulations, or (c) Any other appropriate remedy that may apply. 2. In addition to the exceptions to the restrictions in FTA’s Charter Service regulations, FTA has established the following additional exceptions to those restrictions: a. FTA’s Charter Service restrictions do not apply to your Applicant if it seeks federal assistance appropriated or made available under 49 U.S.C. §§ 5307 or 5311 to be used for Job Access and Reverse Commute (JARC) activities that would have been eligible for assistance under former 49 U.S.C. § 5316 in effect in FY 2012 or a previous fiscal year, provided that it uses that federal assistance from FTA for those program purposes only. b. FTA’s Charter Service restrictions do not apply to your Applicant if it seeks federal assistance appropriated or made available under 49 U.S.C. § 5310 to be used for New Freedom activities that would have been eligible for assistance under former 49 U.S.C. § 5317 in effect in FY 2012 or a previous fiscal year, provided it uses that federal assistance from FTA for those program purposes only. c. An Applicant for assistance under 49 U.S.C. chapter 53 will not be determined to have violated the FTA Charter Service regulations if that Recipient provides a private intercity or charter transportation operator reasonable access to that Recipient’s federally assisted public transportation facilities, including intermodal facilities, park and ride lots, and bus-only highway lanes, as provided in 49 U.S.C. § 5323(r).

03.C. School Bus Agreement. If your Applicant seeks federal assistance from FTA to acquire or operate transit facilities or equipment, the School Bus Agreement in Category 03.C applies to your Applicant, except as FTA determines otherwise in writing. To comply with 49 U.S.C. § 5323(f) and (g) and FTA regulations, “School Bus Operations,” 49 CFR part 605, to the extent consistent with 49 U.S.C. § 5323(f) and (g), your Applicant agrees to enter into the following School Bus Agreement: 1. FTA’s “School Bus Operations” regulations at 49 CFR part 605 restricts school bus operations using facilities and equipment acquired or improved with federal assistance derived from: a. Federal transit laws, 49 U.S.C. chapter 53, b. 23 U.S.C. §§ 133 or 142, or c. Any other Act that provides federal public transportation assistance, unless otherwise excepted. 2. FTA’s school bus operations restrictions extend to: a. Your Applicant, when it receives federal assistance appropriated or made available for: (1) Federal transit laws, 49 U.S.C. chapter 53, (2) 23 U.S.C. §§ 133 or 142, or (3) Any other Act that provides federal public transportation assistance, unless otherwise excepted. b. Any Third Party Participant that receives federal assistance derived from: (1) Federal transit laws, 49 U.S.C. chapter 53, (2) 23 U.S.C. §§ 133 or 142, or (3) Any other Act that provides federal public transportation assistance, unless otherwise excepted. 3. A Third Party Participant includes any: a. Subrecipient at any tier, b. Lessee, c. Third Party Contractor or Subcontractor at any tier, and d. Any other Third Party Participant in the Award.

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4. You and your Applicant agree, and will obtain the agreement of any Third Party Participant, that it will not engage in school bus operations in competition with private operators of school buses, except as permitted under: a. Federal transit laws, specifically 49 U.S.C. § 5323(f) and (g), b. FTA regulations, “School Bus Operations,” 49 CFR part 605, to the extent consistent with 49 U.S.C. § 5323(f) and (g), c. Any other federal School Bus regulations, or d. Federal guidance, except as FTA determines otherwise in writing. 5. You and your Applicant agree that the latest School Bus Agreement selected on its behalf in FTA’s latest annual Certifications and Assurances is incorporated by reference and made part of the Underlying Agreement accompanying its Award of federal assistance. 6. You and your Applicant agree that after it is a Recipient, if it or any Third Party Participant has violated this School Bus Agreement, FTA may: a. Bar your Applicant or Third Party Participant from receiving further federal assistance for public transportation, or b. Require the Applicant or Third Party Participant to take such remedial measures as FTA considers appropriate. CATEGORY 04. ROLLING STOCK REVIEWS AND BUS TESTING. Before FTA may provide federal assistance for an Award to acquire rolling stock for use in revenue service or to acquire a new bus model, you must select the Rolling Stock Reviews and Bus Testing Certifications in Category 04, except as FTA determines otherwise in writing. Any provision of the Certifications in Category 04 that does not apply will not be enforced. 04.A. Rolling Stock Reviews. If your Applicant seeks federal assistance from FTA to acquire rolling stock for use in revenue service, the Rolling Stock Reviews Certifications in Category 05.A apply to your Applicant, except as FTA determines otherwise in writing.On behalf of your Applicant, you certify that, when procuring rolling stock for use in revenue service: 1. Your Applicant will comply with: a. Federal transit laws, specifically 49 U.S.C. § 5323(m), and b. FTA regulations, “Pre-Award and Post-Delivery Audits of Rolling Stock Purchases,” 49 CFR part 663, and 2. As provided in 49 CFR § 663.7: a. Your Applicant will conduct or cause to be conducted the required pre-award and post-delivery reviews of that rolling stock, and b. It will maintain on file the Certifications required by 49 CFR part 663, subparts B, C, and D.

04.B. Bus Testing. If your Applicant seeks federal assistance from FTA to acquire a new bus model, the Bus Testing Certifications in Category 04.B apply to your Applicant, except as FTA determines otherwise in writing. On behalf of your Applicant, you certify that: 1. FTA’s bus testing requirements apply to all acquisitions of new buses and new bus models that require bus testing as defined in FTA’s Bus Testing regulations, and it will comply with: a. 49 U.S.C. § 5318, and b. FTA regulations, “Bus Testing,” 49 CFR part 665. 2. As required by 49 CFR § 665.7, when acquiring the first bus of any new bus model or a bus model with a major change in components or configuration, your Applicant will not spend any federal assistance appropriated under 49 U.S.C. chapter 53 to acquire that new bus or new bus model until: a. That new bus or new bus model has been tested at FTA’s bus testing facility, and b. It has received a copy of the test report prepared for that new bus or new bus model. 3. It will ensure that the new bus or new bus model that is tested has met the performance standards consistent with those regulations, including the: a. Performance standards for:

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(1) Maintainability, (2) Reliability, (3) Performance (including braking performance), (4) Structural integrity, (5) Fuel economy, (6) Emissions, and (7) Noise, and b. Minimum safety performance standards established under 49 U.S.C. § 5329, when issued. 4. After FTA regulations authorized by 49 U.S.C. § 5318(e)(2) are in effect, it will ensure that the new bus or new bus model that is tested has received a passing aggregate test score under the “Pass/Fail” standard established by regulation. CATEGORY 05. DEMAND RESPONSIVE SERVICE.

Before FTA may provide federal assistance to a public entity that operates demand responsive service for an Award to acquire a non-rail vehicle that is not accessible, you must select the Demand Responsive Service Certifications in Category 05, except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 05 that does not apply will not be enforced. As required by U.S. DOT regulations, “Transportation Services for Individuals with Disabilities (ADA),” 49 CFR part 37, specifically 49 CFR § 37.77(d), on behalf of your Applicant, you certify that: 1. Your Applicant offers public transportation services equivalent in level and quality of service to: a. Individuals with disabilities, including individuals who use wheelchairs, and b. Individuals without disabilities. 2. Viewed in its entirety, your Applicant’s service for individuals with disabilities is: a. Provided in the most integrated setting feasible, and b. Equivalent to the service it offers individuals without disabilities with respect to: (1) Response time, (2) Fares, (3) Geographic service area, (4) Hours and days of service, (5) Restrictions on priorities based on trip purpose, (6) Availability of information and reservation capability, and (7) Constraints on capacity or service availability. CATEGORY 06. INTELLIGENT TRANSPORTATION SYSTEMS.

Before FTA may provide federal assistance for an Award in support of an Intelligent Transportation System (ITS), you must select the Intelligent Transportation Systems Assurances in Category 06, except as FTA determines otherwise in writing.

Any provision of the Assurances in Category 06 that does not apply will not be enforced. On behalf of your Applicant, you and your Applicant: 1. Understand that, as used in this Assurance, the term Intelligent Transportation System is defined to include technologies or systems of technologies that provide or significantly contribute to the provision of one or more Intelligent Transportation System (ITS) user services as defined in the “National ITS Architecture.” 2. Assure that, as provided in 23 U.S.C. § 517(d), any Award that includes an ITS or related activity financed with appropriations made available from the Highway Trust Fund, including amounts made available to deploy ITS facilities or equipment, will conform to the appropriate regional ITS architecture, applicable standards, and protocols developed under 23 U.S.C. § 517(a) or (c), unless it obtains a waiver as provided in 23 U.S.C. § 517(d)(2).

CATEGORY 07. INTEREST AND FINANCING COSTS AND ACQUISITION OF CAPITAL ASSETS BY LEASE.

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Before FTA may award federal assistance appropriated or made available under 49 U.S.C. chapter 53 to support the interest, financing, or leasing costs of any Award financed under the Urbanized Area Formula Grants Program, Fixed Guideway Capital Investment Grants Program, any program to which the requirements of 49 U.S.C. § 5307 apply, or any other program as FTA may specify, you must select the Certifications in Category 07, except as FTA may determine otherwise in writing.

Any provision of the Certifications and Assurances in Category 07 that does not apply will not be enforced. 07.A. Interest and Financing Costs. If your Applicant intends to use federal assistance to support the interest or any other financing costs for an Award financed under the Urbanized Area Formula Grants Program, the Fixed Guideway Capital Investment Grants Program, the New Starts, Small Starts, and Core Capacity Programs, any program that must comply with the requirements of 49 U.S.C. § 5307, or any other program as FTA may specify, the Interest and Financing Costs Certifications in Category 08.A apply to your Applicant, except as FTA determines otherwise in writing. On behalf of your Applicant, you certify that: 1. It will not seek reimbursement for interest or any other financing costs unless: a. It is eligible to receive federal assistance for those costs, and b. Its records demonstrate that it has shown reasonable diligence in seeking the most favorable financing terms, as FTA may require. 2. It will comply with the same favorable financing cost provisions for Awards financed under: a. The Urbanized Area Formula Grants Program, b. A Full Funding Grant Agreement, c. An Early Systems Work Agreement, d. The Fixed Guideway Capital Investment Program financed by previous FTA enabling legislation, e. Any program that must comply with the requirements of 49 U.S.C. § 5307, or f. Any other program as FTA may specify.

07.B. Acquisition of Capital Assets by Lease. If your Applicant seeks federal assistance from FTA to acquire capital assets (other than rolling stock or related equipment) through a lease, the Acquisition of Capital Assets by Lease Certifications and Assurances in Category 07.B apply to your Applicant, except as FTA determines otherwise in writing. On behalf of your Applicant, you certify and assure that, as required by FTA regulations, “Capital Leases,” 49 CFR part 639, to the extent consistent with the FAST Act, if your Applicant acquires any capital asset (other than rolling stock or related equipment) through a lease financed with federal assistance appropriated or made available under 49 U.S.C. chapter 53, it will not enter into a capital lease for which FTA can provide only incremental federal assistance unless it has adequate financial resources to meet its future lease obligations if federal assistance is not available. CATEGORY 08. TRANSIT ASSET MANAGEMENT PLAN, PUBLIC TRANSPORTATION AGENCY SAFETY PLAN, AND STATE SAFETY OVERSIGHT REQUIREMENTS. Before FTA may provide federal assistance appropriated or made available under 49 U.S.C. chapter 53 to support an Award, you must select the Certifications in Category 08, except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 08 that does not apply will not be enforced. 08.A. Transit Asset Management Plan. If your Applicant applies for funding appropriated or made available for 49 U.S.C. chapter 53, the Transit Asset Management Certifications in Category 08.A apply to your Applicant, except as FTA determines otherwise in writing.

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On behalf of your Applicant, you certify that it and each of its Subrecipients will: 1. Comply with FTA regulations, “Transit Asset Management,” 49 CFR part 625, and 2. Follow federal guidance that will implement the regulations at 49 CFR part 625.

08.B. Public Transportation Safety Program.

If your Applicant applies for funding under 49 U.S.C. chapter 53 and it is a State, local government authority, or any other operator of a public transportation system, the particular provisions under the Public Transportation Safety Program in Category 09.B apply to your Applicant, except as FTA determines otherwise in writing. On behalf of your Applicant, you certify that it will comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing.

08.C. State Safety Oversight Requirements. On behalf of your Applicant, depending on how far the Recipient has progressed in developing a State Safety Oversight program fully compliant with 49 U.S.C. § 5329(e) and FTA regulations, “State Safety Oversight,” 49 C.F.R. part 674, your applicant certifies that it will comply as follows

1. States With a Fully Compliant Program. The Recipient agrees that FTA regulations, “State Safety Oversight,” 49 C.F.R. part 674, will apply when its State Safety Oversight program is fully compliant with FTA’s requirements, but 2. States Without a Fully Compliant Program. The Recipient agrees that FTA regulations, “Rail Fixed Guideway Systems; State Safety Oversight,” 49 C.F.R. part 659, will continue to apply to those states that have not yet implemented a fully compliant Public Transportation Safety Program. 3. For those Applicants that do not have a certified State Safety Oversight program, the Applicant will make progress towards meeting the April 15, 2019, State Safety Oversight Program certification deadline.

CATEGORY 9. ALCOHOL AND CONTROLLED SUBSTANCES TESTING. If your Applicant must comply with the alcohol and controlled substance testing requirements of 49 U.S.C. § 5331 and its implementing regulations, before FTA may provide federal assistance for an Award, you must select the Certifications in Category 9, except as FTA may determine otherwise in writing.

Any provision of the Certifications in Category 9 that does not apply will not be enforced.

As required by 49 U.S.C. § 5331, and FTA regulations, “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,” 49 CFR part 655, subpart I, specifically 49 CFR § 655.83, on behalf of your Applicant, including an Applicant that is a state, and on behalf of its Subrecipients and Third Party Contractors, you certify that: 1. Your Applicant, its Subrecipients, and Third Party Contractors to which these testing requirements apply have established and implemented: a. An alcohol misuse testing program, and b. A controlled substance testing program. 2. Your Applicant, its Subrecipients, and its Third Party Contractors to which these testing requirements apply have complied or will comply with all applicable requirements of 49 CFR part 655 to the extent those regulations are consistent with 49 U.S.C. § 5331. 3. Consistent with U.S. DOT Office of Drug and Alcohol Policy and Compliance Notice, issued October 22, 2009, if your Applicant, its Subrecipients, or its Third Party Contractors to which these testing requirements apply reside in a state that permits marijuana use for medical or recreational purposes, your Applicant, its Subrecipients, and its Third Party Contractors to which these testing requirements apply

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have complied or will comply with the federal controlled substance testing requirements of 49 CFR part 655.

CATEGORY 10. FIXED GUIDEWAY CAPITAL INVESTMENT GRANTS PROGRAM (NEW STARTS, SMALL STARTS, AND CORE CAPACITY IMPROVEMENT).

Before FTA may provide federal assistance for an Award financed under the New Starts, Small Starts, or Core Capacity Improvement Program authorized under 49 U.S.C. § 5309, you must select the Certifications in Category 10, except as FTA may determine otherwise in writing.

Any provision of the Certifications in Category 10 that does not apply will not be enforced.

Except as FTA determines otherwise in writing, on behalf of your Applicant, you certify that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award, 2. It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. 3. It will maintain its equipment and facilities acquired or improved under its Award in accordance with its transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625, 4. It will comply with: a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and b. The statewide and nonmetropolitan transportation planning requirements of 49 U.S.C. § 5304, and 5. It will comply with FTA guidance, “Final Interim Policy Guidance, Federal Transit Administration Capital Investment Grant Program,” June 2016. CATEGORY 11. STATE OF GOOD REPAIR PROGRAM. Before FTA may provide federal assistance for an Award financed under the State of Good Repair Program authorized under 49 U.S.C. § 5337, you must select the Certifications in Category 11, except as FTA determines otherwise in writing.

Any provision of the Assurance in Category 11 that does not apply will not be enforced.

On behalf of your Applicant, you certify that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award, 2. It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award, 3. It will maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625, and 4. It will comply with: a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and b. The statewide and nonmetropolitan transportation planning requirements of 49 U.S.C. § 5304. CATEGORY 12. GRANTS FOR BUSES AND BUS FACILITIES AND LOW OR NO EMISSION VEHICLE DEPLOYMENT GRANT PROGRAMS Before FTA may provide federal assistance for an Award under the Buses and Bus Facilities Program authorized under 49 U.S.C. § 5339, as amended by the FAST Act, which authorizes grants for formula and competitive Bus and Bus Facilities Grants and Low or No Emission buses or an award under the Low or No Emission Vehicle Development Program authorized under former 49 U.S.C. § 5312(d)(5), you must select the Certifications in Category 12, except as FTA determines otherwise in writing.

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Any provision of the Certifications in Category 12 that does not apply will not be enforced.

12.A. Grants for Buses and Bus Facilities Program The following Certifications for the Grants for Buses and Bus Facilities Program are required by 49 U.S.C. § 5339, as amended by the FAST Act, which provides that the requirements of 49 U.S.C. § 5307 shall apply to recipients of grants made in urbanized areas and the requirements of 49 U.S.C. § 5311 shall apply to recipients of grants made in rural areas. Therefore: 1. If your Applicant is in an urbanized area, except as FTA determines otherwise in writing, on behalf of your Applicant, you certify that: a. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. b. It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. c. It will maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. d. When using or involving a facility or equipment acquired or improved with federal assistance under 49 U.S.C. § 5339 during non-peak hours for transportation, recipients in an urbanized area will charge a fare not exceeding fifty (50) percent of the peak hour fare to the following individuals: (1) Any senior, (2) Any individual who, because of illness, injury, age, congenital malfunction, or any other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), is unable to use a public transportation service or a public transportation facility effectively without special facilities, planning, or design, (3) Any individual presenting a Medicare card issued to that individual under title II of the Social Security Act (42 U.S.C. § 401 et seq.), and (4) Any individual presenting a Medicare card issued to that individual under title XVIII of the Social Security Act (42 U.S.C. § 1395 et seq.). e. When carrying out a procurement under 49 U.S.C. § 5339, it will comply with: (1) The applicable general provisions of 49 U.S.C. § 5323, and (2) The applicable third party contract provisions of 49 U.S.C. § 5325. f. It has complied with or will comply with 49 U.S.C. § 5307(b). g. As required by 49 U.S.C. § 5307(d): (1) It has or will have the amount of funds required for the non-federal share, (2) It will provide the non-federal share from sources approved by FTA, and (3) It will provide the non-federal share when needed. h. It will comply with: (1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and (2) The statewide and nonmetropolitan transportation planning requirements of 49 U.S.C. § 5304. i. It has a locally developed process to solicit and consider public comment before: (1) Raising a fare, or (2) Implementing a major reduction of public transportation service. j. It will comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing. 2. Except as FTA determines otherwise in writing, if your Applicant is in a rural area, you certify, on behalf of your Applicant, that: a. It has or will have and require each Subrecipient to have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. b. It has or will have and require each Subrecipient to have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. c. It will maintain and require each Subrecipient to maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. d. Its state program has provided for a fair distribution of federal assistance appropriated or made available under 49 U.S.C. § 5311(b) within the state to eligible entities, including Indian reservations.

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e. Its program provides or will provide the maximum feasible coordination of federal assistance for public transportation service with transportation service financed by other federal sources. f. Its Awards and Subawards in its Formula Grants for Rural Areas Program are included in: (1) The statewide transportation improvement program, and (2) To the extent applicable, a metropolitan transportation improvement program. g. With respect to the non-federal share: (1) It has or will have and, as necessary, will require each Subrecipient to have the amount of funds required for the non-federal share, as required by 49 U.S.C. § 5311(g), (2) It will provide and, as necessary, will require each Subrecipient to provide the non-federal share from sources approved by FTA, and (3) It will provide and, as necessary, will require each Subrecipient to provide the non-federal share when needed. h. It may transfer a facility or equipment acquired or improved under its Award to any other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if: (1) The Recipient possessing the facility or equipment consents to the transfer, and (2) The facility or equipment will continue to be used as required under 49 U.S.C. § 5311. 12.B. Low or No Emission Vehicle Deployment. If your Applicant seeks federal assistance from FTA for an Award financed under the Low or No Emission Vehicle Development Program authorized under former 49 U.S.C. § 5312(d)(5), the Certifications and Assurances in Category 12.B apply to your Applicant, except as FTA determines otherwise in writing. Former section 5312(d)(5)(C)(i) of title 49, United States Code, requires the following Certifications for Low or No Emission Vehicle Deployment Program before awarding federal assistance appropriated or made available under MAP-21. Therefore, except as FTA determines otherwise in writing, on behalf of your Applicant, you certify and assure that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. 2. It has or will have satisfactory continuing control over the use of equipment and facilities acquired or improved under its Award. 3. It will maintain its equipment and facilities acquired or improved under its Award in accordance with the Recipient’s transit management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. 4. When using or involving a facility or equipment acquired or improved with federal assistance under former 49 U.S.C. § 5312(d)(5) during non-peak hours for transportation, it will charge a fare not exceeding fifty (50) percent of the peak hour to the following individuals: a. Any senior, b. Any individual who, because of illness, injury, age, a congenital malfunction, or any other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or who has semi-ambulatory capability) and is unable to use a public transportation service or a public transportation facility effectively without special facilities, special planning, or special design, c. Any individual presenting a Medicare card issued to that individual under title II of the Social Security Act (42 U.S.C. § 401 et seq.), and d. Any individual presenting a Medicare card issued to that individual under title XVIII of the Social Security Act (42 U.S.C. § 1395 et seq.). 5. When carrying out a procurement under this Program, it will comply with: a. The applicable general provisions of 49 U.S.C. § 5323, and b. The applicable third party contract provisions of 49 U.S.C. § 5325. 6. It has complied with or will comply with 49 U.S.C. § 5307(b) because: a. It has informed or will inform the public of the amounts of its federal assistance available under this Program, b. It has developed or will develop, in consultation with interested parties including private transportation providers, its proposed Program of Projects for activities to be financed, c. It has published or will publish its proposed Program of Projects in a way that affected individuals, private transportation providers, and local elected officials will have an opportunity to examine and submit comments on the proposed Projects and its performance as an Applicant,

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d. It has provided or will provide an opportunity for a public hearing to obtain the views of individuals on its proposed Program of Projects, e. It has assured or will assure that its proposed Program of Projects provides for coordination of public transportation services assisted under 49 U.S.C. § 5336, as amended by the FAST Act, with federally assisted transportation services supported by other federal sources, f. It has considered or will consider the comments and views received, especially those of private transportation providers, in preparing its final list of Projects, and g. It has made or will make the final list of Projects for which an Award is sought available to the public. 7. With respect to the non-federal share: a. It has or will have the amount of funds required for the non-federal share, b. It will provide the non-federal share from sources approved by FTA, and c. It will provide the non-federal share when needed. 8. It will comply with: a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and b. The statewide and nonmetropolitan planning requirements of 49 U.S.C. § 5304. 9. It has a locally developed process to solicit and consider public comment before: a. Raising a fare, or b. Implementing a major reduction of public transportation service. 10. It will comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing. CATEGORY 13. URBANIZED AREA FORMULA GRANTS PROGRAMS AND PASSENGER FERRY GRANT PROGRAM. Before FTA may provide federal assistance for an Award financed under the Urbanized Area Formula Grants Program authorized under 49 U.S.C. § 5307, as amended by the FAST Act, which authorizes federal assistance for Job Access and Reverse Commute (JARC) activities, and the Passenger Ferry Grant Program authorized under 49 U.S.C. § 5307(h), you must select the Certifications in Category 13, except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 13 that does not apply will not be enforced.

13A. Urbanized Area Formula Grants Program under the FAST Act.

If your Applicant seeks federal assistance from FTA for an Award financed under the Urbanized Area Formula Grants Program authorized under 49 U.S.C. § 5307, as amended by the FAST Act, the Certifications in Category 13.A apply to your Applicant, except as FTA determines otherwise in writing. The following Certifications for the Urbanized Area Formula Grants Program under 49 U.S.C. § 5307, as amended by the FAST Act, are required by 49 U.S.C. § 5307(c)(1). Therefore, except as FTA determines otherwise in writing, on behalf of your Applicant, you certify that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. 2. It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. 3. It will maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625, 4. When using or involving a facility or equipment acquired or improved with federal assistance under 49 U.S.C. § 5307 during non-peak hours for transportation, it will charge a fare not exceeding fifty (50) percent of the peak hour fare to the following individuals: a. Any senior, b. Any individual who, because of illness, injury, age, congenital malfunction, or any other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), is unable to use a public transportation service or a public transportation facility effectively without special facilities, planning, or design,

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c. Any individual presenting a Medicare card issued to that individual under title II of the Social Security Act (42 U.S.C. § 401 et seq.), and d. Any individual presenting a Medicare card issued to that individual under title XVIII of the Social Security Act (42 U.S.C. § 1395 et seq.). 5. When carrying out a procurement under 49 U.S.C. § 5307, it will comply with: a. The applicable general provisions of 49 U.S.C. § 5323, and b. The applicable third party contract provisions of 49 U.S.C. § 5325. 6. It has complied with or will comply with 49 U.S.C. § 5307(b) because: a. It has made or will make available to the public information on the amounts of federal assistance available to it under 49 U.S.C. § 5307, b. It has developed or will develop, in consultation with interested parties including private transportation providers, its proposed Program of Projects for activities for which federal assistance is sought, c. It has published or will publish its proposed Program of Projects in a way that affected individuals, private transportation providers, and local elected officials will have an opportunity to examine and submit comments on its proposed Program of Projects and its performance as an Applicant or Recipient, d. It has provided or will provide an opportunity for a public hearing to obtain the views of individuals on its proposed Program of Projects, e. It has ensured or will ensure that its proposed Program of Projects provides for coordination of transportation services financed by FTA under 49 U.S.C. § 5336, as amended by the FAST Act, with transportation services supported by other Federal Government sources, f. It has considered or will consider the comments and views received, especially those of private transportation providers, in preparing its final Program of Projects, and g. It has made or will make its final Program of Projects available to the public. 7. As required by 49 U.S.C. § 5307(d): a. It has or will have the amount of funds required for the non-federal share, b. It will provide the non-federal share from sources approved by FTA, and c. It will provide the non-federal share when needed. 8. As required by 49 U.S.C. § 5307(c)(1)(H), it will comply with: a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and b. The statewide and nonmetropolitan transportation planning requirements of 49 U.S.C. § 5304. 9. As required by 49 U.S.C. § 5307(c)(1)(I), it has a locally developed process to solicit and consider public comment before: a. Raising a fare, or b. Implementing a major reduction of public transportation. 10. Each fiscal year: a. It will assure that at least one (1) percent of the amount of federal assistance under 49 U.S.C. § 5307 apportioned to its urbanized area must be expended for Public Transportation Security activities as described in 49 U.S.C. § 5307(c)(1)(J)(i) including: (1) Increased lighting in or adjacent to a public transportation system (including bus stops, subway stations, parking lots, and garages), (2) Increased camera surveillance of an area in or adjacent to that system, (3) Emergency telephone line or lines to contact law enforcement or security personnel in an area in or adjacent to that system, and (4) Any other activity intended to increase the security and safety of an existing or planned public transportation system, or b. The Designated Recipients in its urbanized area certify that such expenditures for Public Transportation Security activities are not necessary. 11. If it serves an urbanized area with a population of at least 200,000 individuals, as determined by the Bureau of the Census: a. It will provide a report by the end of the fourth quarter of the preceding federal fiscal year that lists projects carried out in the preceding fiscal year under this section for associated transit improvements as defined in 49 U.S.C. § 5302, and b. The report of its Associated Transit Improvements or related activities is or will be incorporated by reference and made part of its Certifications and Assurances. 12. It will comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing.

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13.B. Passenger Ferry Grant Program.

If your Applicant seeks federal assistance from FTA for an Award financed under the Passenger Ferry Grant Program authorized under 49 U.S.C. § 5307(h),as amended by the FAST Act, the Certifications in Category 13.B apply to your Applicant, except as FTA determines otherwise in writing. The following Certifications for the Passenger Ferry Grant Program are required by 49 U.S.C. § 5307(c)(1) or (h). Therefore, except as FTA determines otherwise in writing, on behalf of your Applicant, you certify that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. 2. It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. 3. It will maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. 4. When using or involving a facility or equipment acquired or improved with federal assistance under 49 U.S.C. § 5307(h) during non-peak hours for transportation, it will charge a fare not exceeding fifty (50) percent of the peak hour fare to the following individuals: a. Any senior, b. Any individual who, because of illness, injury, age, congenital malfunction, or any other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), is unable to use a public transportation service or a public transportation facility effectively without special facilities, planning, or design, c. Any individual presenting a Medicare card issued to that individual under title II of the Social Security Act (42 U.S.C. § 401 et seq.), and d. Any individual presenting a Medicare card issued to that individual under title XVIII of the Social Security Act (42 U.S.C. § 1395 et seq.). 5. When carrying out a procurement under 49 U.S.C. § 5307(h), it will comply with: a. The applicable general provisions of 49 U.S.C. § 5323, and b. The applicable third party contract provisions of 49 U.S.C. § 5325. 6. As required by 49 U.S.C. § 5307(d): a. It has or will have the amount of funds required for the non-federal share, b. It will provide the non-federal share from sources approved by FTA, and c. It will provide the non-federal share when needed. 7. As required by 49 U.S.C. § 5307(c)(1)(H), it will comply with: a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and b. The statewide and nonmetropolitan transportation planning requirements of 49 U.S.C. § 5304. 8. As required by 49 U.S.C. § 5307(c)(1)(I), it has a locally developed process to solicit and consider public comment before: a. Raising a fare, or b. Implementing a major reduction of public transportation service. 9. It will comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing.

CATEGORY 14. ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH DISABILITIES PROGRAMS. Before FTA may provide federal assistance for an Award financed under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program authorized under 49 U.S.C. § 5310, as amended by the FAST Act, or the Pilot Program for Innovated Access and Mobility under Section 3006(b) of the FAST Act, you must select the Certifications in Category 14, except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 14 that does not apply will not be enforced

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1. The following Certifications for the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program are required by 49 U.S.C. § 5310. Therefore, except as FTA determines otherwise in writing, on behalf of your Applicant, you certify that: a. Each Subrecipient is: (1) A private nonprofit organization, or (2) A state or local governmental authority that: (a) Is approved by a state to coordinate services for seniors and individuals with disabilities, or (b) Certifies that there are no private nonprofit organizations readily available in the area to provide the services authorized for support under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program. b. Your Applicant will comply with the following selection and planning requirements: (1) The Projects it has selected or will select for an Award or Subaward of federal assistance appropriated or made available under 49 U.S.C. § 5310 are included in a public transit-human services transportation plan that has been: (a) Locally developed, and (b) Coordinated. (2) The public transit-human services transportation plan was developed and approved through a process that included participation by: (a) Seniors, (b) Individuals with disabilities, (c) Representatives of public, private, and nonprofit transportation providers, (d) Representatives of public, private, and nonprofit human services providers, and (e) Other members of the public. (3) Within its Award, the Projects selected to receive federal assistance will assist in providing transportation services for seniors and individuals with disabilities are included in its Program of Projects submitted to FTA annually. (4) To the maximum extent feasible, the services financed by 49 U.S.C. § 5310 will be coordinated with transportation services financed by other federal departments and agencies, including any transportation activities carried out by a recipient of federal assistance from the Department of Health and Human Services. c. As required by 49 U.S.C. § 5310(e)(2)(B), it certifies that if it allocates federal assistance received under 49 U.S.C. § 5310 to any Subrecipient, it will have allocated that federal assistance on a fair and equitable basis. d. It will not transfer a facility or equipment acquired or improved with federal assistance appropriated or made available for a grant under 49 U.S.C. § 5310 to any other recipient eligible to receive assistance under 49 U.S.C. chapter 53, unless: (1) The recipient possessing the facility or equipment consents to the transfer, and (2) The facility or equipment will continue to be used as required under 49 U.S.C. § 5310. e. As required by 49 U.S.C. § 5310(b)(2), it will use at least fifty-five (55) percent of the federal assistance it receives for Capital Projects to meet the special needs of seniors and individuals with disabilitiesf. The requirements of 49 U.S.C. § 5307, as determined by FTA, will apply to the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program authorized by 49 U.S.C. § 5310. 2. FTA has determined that certain requirements of 49 U.S.C. § 5307 are appropriate for the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program, some of which require Certifications. Therefore, as specified under 49 U.S.C. § 5307(c)(1), your Applicant certifies that: a. It has or will have and will require each Subrecipient to have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. b. It has or will have and will require each Subrecipient to have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award or Subaward. c. It will maintain and will require each Subrecipient to maintain its equipment and facilities acquired or improved under its Award or Subaward, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. d. When carrying out a procurement under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities Program, it will require each Subrecipient to comply with: (1) The applicable general provisions of 49 U.S.C. § 5323, and (2) The applicable third party contract provisions of 49 U.S.C. § 5325. e. With respect to the non-federal share:

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(1) It has or will have and, as necessary, will require each Subrecipient to have the amount of funds required for the non-federal share, as required by 49 U.S.C. § 5310, (2) It will provide and, as necessary, will require each Subrecipient to provide the non-federal share from sources approved by FTA, and (3) It will provide and, as necessary, will require each Subrecipient to provide the non-federal share when needed. f. It has complied or will comply and will require each Subrecipient to comply with: (1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and (2) The statewide and nonmetropolitan transportation planning requirements of 49 U.S.C. § 5304. g. To the extent applicable, it will and will require its Subrecipients to comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing. CATEGORY 15. RURAL AREAS AND APPALACHIAN DEVELOPMENT PROGRAMS. Before FTA may provide federal assistance for an Award financed under the Formula Grants for Rural Areas Program authorized under 49 U.S.C. § 5311(b), as amended by FAST Act, and the Appalachian Development Public Transportation Assistance Program authorized 49 U.S.C. § 5311(c)(2), as amended by FAST, you must select the Certifications in Category 15, except as FTA determines otherwise in writing.

Any provision of the Certifications and Assurances in Category 16 that does not apply will not be enforced.

15.A. Formula Grants for Rural Areas Program.

If your Applicant seeks federal assistance from FTA for an Award financed under the Formula Grants for Rural Areas Program authorized under 49 U.S.C. § 5311, as amended by FAST Act, the Certifications in Category 15.A apply to your Applicant, except as FTA determines otherwise in writing. The following Certifications apply to each state or state organization serving as your Applicant for federal assistance appropriated or made available for the Rural Areas Formula Program financed under 49 U.S.C. § 5311(b), as amended by FAST Act. On its behalf, you certify and assure that: 1. It has or will have and require each Subrecipient to have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. 2. It has or will have and require each Subrecipient to have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. 3. It will maintain and require each Subrecipient to maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. 4. It will and will require each Subrecipient to comply with applicable regulations and guidance that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing. 5. Its state program has provided for a fair distribution of federal assistance appropriated or made available under 49 U.S.C. § 5311(b) within the state to eligible entities, including Indian reservations. 6. Its program provides or will provide the maximum feasible coordination of federal assistance for public transportation service authorized by 49 U.S.C. § 5311(b) with transportation service financed by other federal sources. 7. Its Awards and Subawards in its Formula Grants for Rural Areas Program are included in: a. The statewide transportation improvement program, and b. To the extent applicable, a metropolitan transportation improvement program. 8. With respect to the non-federal share: a. It has or will have and, as necessary, will require each Subrecipient to have the amount of funds required for the non-federal share, as required by former 49 U.S.C. § 5311(g), b. It will provide and, as necessary, will require each Subrecipient to provide the non-federal share from sources approved by FTA, and

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c. It will provide and, as necessary, will require each Subrecipient to provide the non-federal share when needed. 9. It may transfer a facility or equipment acquired or improved under its Award to any other Recipient eligible to receive assistance under 49 U.S.C. chapter 53, if: a. The Recipient possessing the facility or equipment consents to the transfer, and b. The facility or equipment will continue to be used as required under 49 U.S.C. § 5311. 10. Each fiscal year: a. It will spend at least fifteen (15) percent of its federal assistance authorized under 49 U.S.C. § 5311 and available that fiscal year for eligible activities to develop and support intercity bus transportation within the state including: (1) Planning and marketing for intercity bus transportation, (2) Capital grants for intercity bus facilities, (3) Joint-use facilities, (4) Operating grants through purchase-of-service agreements, user-side subsidies, and demonstration projects, and (5) Coordinating rural connections between small public transportation operations and intercity bus carriers, or b. It will provide to FTA a Certification from the governor of the state that: (1) It has consulted with the affected intercity bus service providers about the intercity bus needs of the state, and (2) The state’s intercity bus service needs are being met adequately.

15.B. Appalachian Development Public Transportation Assistance Program. If your Applicant seeks federal assistance from FTA for an Award financed under the Appalachian Development Public Transportation Assistance Program authorized under 49 U.S.C. § 5311(c)(2), the Certifications in Category 15.B apply to your Applicant, except as FTA determines otherwise in writing. On behalf of your Applicant, you certify and assure that, if it is unable to use its federal assistance made available or appropriated for public transportation operating assistance, in accordance with 49 U.S.C. § 5311(c)(2)(D), it may use the federal assistance for a Highway Project only after: 1. It provides notice and an opportunity for comment and appeal to affected public transportation providers, 2. It approves such use in writing, and 3. In approving the use, it determines that local transit needs are being addressed. 4. It complies or will comply, to the extent applicable, with the recipient’s transit asset management plan consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625, and 5. It complies or will comply, to the extent applicable, with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing.

CATEGORY 16. TRIBAL TRANSIT PROGRAMS (PUBLIC TRANSPORTATION ON INDIAN RESERVATIONS PROGRAMS). Before FTA may provide federal assistance for an Award financed under either the Public Transportation on Indian Reservations Formula or Discretionary Program authorized under 49 U.S.C. § 5311(c)(1), as amended by the FAST Act, (Tribal Transit Programs), you must select the Certifications in Category 16, except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 16 that does not apply will not be enforced.

FTA has established terms and conditions for Tribal Transit Program grants financed with federal assistance appropriated or made available under 49 U.S.C. § 5311(c)(1). On behalf of your Applicant, you certify and assure that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. 2. It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award.

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3. It will maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625.4. Its Award will achieve maximum feasible coordination with transportation service financed by other federal sources. 4. With respect to its procurement system: a. It will have a procurement system that complies with U.S. DOT regulations, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR part 1201, which incorporates by reference U.S. OMB regulatory guidance, “Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards,” 2 CFR part 200, for Awards made on or after December 26, 2014, b. It will have a procurement system that complies with U.S. DOT regulations, “Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments,” 49 CFR part 18, specifically former 49 CFR § 18.36, for Awards made before December 26, 2014, or c. It will inform FTA promptly if its procurement system does not comply with either of those U.S. DOT regulations. 5. It will comply with the Certifications, Assurances, and Agreements in: a. Category 03.B and 03.C (Charter Service Agreement and School Bus Agreement), b. Category 04.A and 04. B (Rolling Stock Reviews and Bus Testing), c. Category 05 (Demand Responsive Service), d. Category 06 (Intelligent Transportation Systems), and e. Category 08. A and 08. B (Transit Asset Management Plan and Public Transortation Safety Program), and f. Category 09 (Alcohol and Controlled Substances Testing)

CATEGORY 17. STATE SAFETY OVERSIGHT GRANT PROGRAM.

Before FTA may provide federal assistance for an Award financed under the State Safety Oversight Grant Program authorized under 49 U.S.C. § 5329(e)(6), you must select the Certifications in Category 17, except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 17 that does not apply will not be enforced.

On behalf of your Applicant, you certify that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. 2. It has or will have satisfactory continuing control over the use of equipment and facilities acquired or improved under its Award. 3. It will maintain its equipment and facilities acquired or improved under its Award in accordance with the Recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. 4. When carrying out a procurement under its Award, it will comply with: a. The applicable general provisions of 49 U.S.C. § 5323, and b. The applicable third party contract provisions of 49 U.S.C. § 5325. 5. As required by 49 U.S.C. § 5329(e)(6)(C): a. It has or will have the amount of funds required for the non-federal share, b. It will provide the non-federal share only from sources approved by FTA, and will not be met by: (1) Any federal assistance, (2) Any funds received from a public transportation agency, or (3) Any revenues earned by a public transportation agency, and c. Will provide the non-federal share when needed. 6. Depending on how far the Recipient has progressed in developing a State Safety Oversight program fully compliant with 49 C.F.R. part 674, the following FTA regulations will apply: a. States With a Fully Compliant Program. The Recipient agrees that FTA regulations, “State Safety Oversight,” 49 C.F.R. part 674, will apply when its State Safety Oversight program is fully compliant with FTA’s requirements;

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b. States Without a Fully Compliant Program. The Recipient agrees that FTA regulations, “Rail Fixed Guideway Systems; State Safety Oversight,” 49 C.F.R. part 659, will continue to apply to those states that have not yet implemented a fully compliant Public Transportation Safety Program. CATEGORY 18. PUBLIC TRANSPORTATION EMERGENCY RELIEF PROGRAM.

Before FTA may provide federal assistance for an Award financed under the Public Transportation Emergency Relief Program authorized under 49 U.S.C. § 5324, you must select the Certifications in Category 19 , except as FTA determines otherwise in writing. Any provision of the Assurance in Category 18 that does not apply will not be enforced. As required by 49 U.S.C. § 5324(d), on behalf of your Applicant, you assure that it will: 1. Comply with the requirements of the Certifications and Assurances as FTA determines will apply to an Applicant for federal assistance appropriated or made available for the Public Transportation Emergency Relief Program, and 2. Comply with FTA regulations, “Emergency Relief,” 49 C.F.R. part 602 CATEGORY 19. EXPEDITED PROJECT DELIVERY PILOT PROGRAM. Before FTA may provide federal assistance for an Award financed under the Expedited Project Delivery Pilot Program authorized under section 3005(b) of the FAST Act, you must select the Certifications in Category 20, except as FTA determines otherwise in writing.

To the extent that any Certification in Category 19 does not apply, it will not be enforced. As required by section 3005(b)(3)(B) of the FAST Act, except as FTA determines otherwise in writing, on behalf of your Applicant, you certify that: 1. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. 2. It has or will have satisfactory continuing control over the use of its equipment and facilities acquired or improved under its Award. 3. It will maintain its equipment and facilities acquired or improved under its Award in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. 4. It will comply with: a. The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and b. The statewide and nonmetropolitan transportation planning requirements of 49 U.S.C. § 5304.

CATEGORY 20. INFRASTRUCTURE FINANCE PROGRAMS. Before FTA may provide credit assistance for an Award that also is or will be financed under the Transportation Infrastructure Finance and Innovation Act (TIFIA) Program authorized under 23 U.S.C. §§ 601 – 609, or the State Infrastructure Banks (SIB) Program authorized under 23 U.S.C. § 610, you must select the Certifications in Category 20. If the Applicant does not receive credit assistance under the TIFIA or SIB programs, the Certifications and Assurances in Category 20 will not be enforced. 20.A. Transportation Infrastructure Finance and Innovation Act (TIFIA) Program.

If your Applicant seeks federal assistance from FTA for an Award that also is or will be financed under the TIFIA Program authorized under 23 U.S.C. §§ 601 – 609 the Certifications and Assurances in Category 20.A apply to your Applicant. In administering this Program, the FAST Act cross-cutting requirements supersede inconsistent former requirements. On behalf of your Applicant, you certify and assure, as required by 49 U.S.C. § 5323(o), that federal transit laws, specifically 49 U.S.C. § 5307, 49 U.S.C. § 5309, and 49 U.S.C. § 5337, apply to any Project under 49 U.S.C. chapter 53 that receives TIFIA credit assistance under 23 U.S.C. §§ 601 – 609. 1. To comply with 49 U.S.C. §5307, specifically 49 U.S.C. § 5307(c)(1), on your Applicant’s behalf, you certify that:

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a. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. b. It has or will have satisfactory continuing control over the use of equipment and facilities acquired or improved under its Award. c. It will maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. d. For transportation during non-peak hours and using or involving a facility or equipment of an Award financed using 49 U.S.C. § 5307 funds, it will charge a fare not exceeding fifty (50) percent of the peak hour fare to the following individuals: (1) Any senior, (2) Any individual who, because of illness, injury, age, congenital malfunction, or other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), is unable to use a public transportation service or a public transportation facility effectively without special facilities, planning, or design, (3) Any individual presenting a Medicare card issued to that individual under title II of the Social Security Act (42 U.S.C. § 401 et seq.), and (4) Any individual presenting a Medicare card issued to that individual under title XVIII of the Social Security Act (42 U.S.C. § 1395 et seq.). e. When carrying out a TIFIA-financed procurement, the Applicant will comply with: (1) The applicable provisions of 49 U.S.C. § 5323, and (2) The applicable provisions of 49 U.S.C. § 5325. f. It has complied with or will comply with 49 U.S.C. § 5307(b). g. (1) It has or will have no more than 80 percent of the Total Award Budget as the sum of all federal grants and any TIFIA-financed awards, (2) It will provide the non-federal share from sources approved by FTA, and (3) It will provide the non-federal share when needed. h. It will comply with: (1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and (2) The statewide and nonmetropolitan planning requirements of 49 U.S.C. § 5304. i. It has a locally developed process to solicit and consider public comment before: (1) Raising a fare, or (2) Implementing a major reduction of public transportation. j. It will comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of 49 U.S.C. § 5329(b)-(d), except as FTA determines otherwise in writing. 2. To comply with the interest and financing costs restrictions of 49 U.S.C. chapter 53, it agrees that it will not seek reimbursement for interest or any other financing costs incurred in connection with its Award that must be in compliance with those requirements unless: a. It is eligible to receive federal assistance for those expenses, and b. Its records demonstrate that it has used reasonable diligence in seeking the most favorable financing terms underlying those costs, to the extent FTA may require. 3. It will comply with Title VI of the Civil Rights Act of 1964 (42 U.S.C. § 2000d et seq.). 4. Pursuant to the National Environmental Policy Act of 1969 (NEPA), 42 U.S.C. § 5321 et seq., the Project will qualify for an environmental categorical exclusion or receive a finding of no significant impact or a record of decision under NEPA before the Applicant undertakes activities for which it expects to receive federal assistance. 5. It agrees that it will adopt a transit asset management plan that complies with regulations implementing 49 U.S.C. § 5326(d).

20.B. State Infrastructure Banks (SIB) Program.

If your Applicant is a state and seeks federal assistance from FTA for a project that also is or will be financed under the SIB Program authorized under 23 U.S.C. § 610, the Certifications and Assurances in Category 20.B apply to your state and its Award, except as the Secretary determines in writing. In administering this Program, the FAST Act cross-cutting requirements supersede inconsistent former requirements.

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On behalf of the state Applicant for federal assistance for its SIB Program, you certify and assure that: 1. It will comply with the following applicable federal laws establishing the various SIB Programs since 1995: a. 23 U.S.C. § 610, b. Section 1511 of TEA-21, 23 U.S.C. § 181 note, or c. Section 350 of the National Highway System Designation Act of 1995, as amended, 23 U.S.C. § 181. 2. It will comply with or follow the Grant Agreement between it and FTA that provides federal assistance to the SIB, including the FTA Master Agreement, which is incorporated by reference into the Grant Agreement, except that, unless FTA determines otherwise in writing, a provision of the FTA Master Agreement incorporated by reference into that Grant Agreement will not apply if it conflicts with any provision of: a. 23 U.S.C. § 610, as amended by the FAST Act, b. 23 U.S.C. § 610 or its predecessor before the FAST Act was signed into law, c. Section 1511 of TEA-21, 23 U.S.C. § 181 note, or section 350 of the National Highway System Designation Act of 1995, as amended, 23 U.S.C. § 181 note, d. Federal guidance pertaining to the SIB Program, e. The SIB Cooperative Agreement establishing the state’s SIB Program, f. The Grant Agreement with FTA. 3. As required by 49 U.S.C. § 5323(o), federal transit laws, specifically 49 U.S.C. § 5307, 49 U.S.C. § 5309, and 49 U.S.C. § 5337, as amended by the FAST Act, apply to any Award under 49 U.S.C. chapter 53 that receives SIB support or financing under title 23, United States Code. 4. As required by 49 U.S.C. § 5323(o) and 49 U.S.C. § 5307(c)(1): a. It has or will have the legal, financial, and technical capacity to carry out its Award, including the safety and security aspects of that Award. b. It has or will have satisfactory continuing control over the use of equipment and facilities acquired or improved under its Award. c. It will maintain its equipment and facilities acquired or improved under its Award, in accordance with the recipient’s transit asset management plan and consistent with FTA regulations, “Transit Asset Management,” 49 CFR part 625. d. When using or involving a facility or equipment acquired or improved with federal assistance under a SIB-financed Award during non-peak hours for transportation, it will charge a fare not exceeding fifty (50) percent of the peak hour fare to the following individuals: (1) Any senior, (2) Any individual who, because of illness, injury, age, congenital malfunction, or any other incapacity or temporary or permanent disability (including an individual who is a wheelchair user or has semi-ambulatory capability), is unable to use a public transportation service or a public transportation facility effectively without special facilities, planning, or design, (3) Any individual presenting a Medicare card issued to that individual under title II of the Social Security Act (42 U.S.C. § 401 et seq.), and (4) Any individual presenting a Medicare card issued to that individual under title XVIII of the Social Security Act (42 U.S.C. § 1395 et seq.). e. When carrying out a procurement under a SIB-financed Award, it will comply with: (1) The applicable general provisions of 49 U.S.C. § 5323, and (2) The applicable third party contract provisions of 49 U.S.C. § 5325. f. It has complied with or will comply with 49 U.S.C. § 5307(b). g. It has or will have or provide: (1) The amount of funds required for the non-federal share by the SIB Program, but not less than twenty-five (25) percent of each capitalization grant, (2) The non-federal share from sources approved by FTA, and (3) The non-federal share when needed. h. It will comply with: (1) The metropolitan transportation planning requirements of 49 U.S.C. § 5303, and (2) The statewide and nonmetropolitan planning requirements of 49 U.S.C. § 5304. i. It has a locally developed process to solicit and consider public comment before: (1) Raising a fare, or (2) Implementing a major reduction of public transportation.

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j. It will comply with applicable regulations, guidance, and directives that implement the Public Transportation Safety Program provisions of § 5329(b)-(d), except as FTA determines otherwise in writing. 5. As required by 49 U.S.C. chapter 53, it certifies that it will not seek reimbursement for interest or any other financing costs incurred in connection with its Award unless: a. It is eligible to receive federal assistance for those expenses, b. Its records demonstrate that it has used reasonable diligence in seeking the most favorable financing terms underlying those costs, as FTA may require. 6. It agrees that it will adopt a transit asset management plan that complies with FTA regulations, “Transit Asset Management,” 49 CFR part 625.

CATEGORY 21. CONSTRUCTION HIRING PREFERENCES. Before FTA may provide federal assistance for a third party contract for construction hiring financed under title 49 U.S.C. or title 23 U.S.C. using a geographic, economic, or any other hiring preference not otherwise authorized by federal law or regulation, you must select the Certifications in Category 21 on behalf of your Applicant, except as FTA determines otherwise in writing.

Any provision of the Certifications in Category 21 that does not apply will not be enforced. As provided by section 192 of division L, title I of the Consolidated Appropriations Act, 2017, Public Law No. 114-113, on behalf of your Applicant, you certify that if, in connection with any third party contract for construction hiring financed under title 49 U.S.C. or title 23 U.S.C., it uses a geographic, economic, or any other hiring preference not otherwise authorized by law or prohibited under 2 CFR § 200.319(b): 1. Except with respect to apprentices or trainees, a pool of readily available but unemployed individuals possessing the knowledge, skill, and ability to perform the work that the third party contract requires resides in the jurisdiction where the work will be performed,, 2. It will include appropriate provisions in its bid document ensuring that its third party contractor(s) do not displace any of its existing employees in order to satisfy such hiring preference, and 3. That any increase in the cost of labor, training, or delays resulting from the use of such hiring preference does not delay or displace any transportation project in the applicable Statewide Transportation Improvement Program or Transportation Improvement Program.

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LISTS OF STATUTES, REGULATIONS, EXECUTIVE ORDERS,AND ADMINISTRATIVE REQUIREMENTS APPLICABLE TO

SECTION 5311 PROGRAM

STATUTES18 U.S.C. 1001

which provides criminal sanctions for those who knowingly and willfully provide false information to the Federal Government.

Section 5323(b) of the FT Act, 49 U.S.C. 5301 et. seq.which requires, among other things, the recipient to provide a certification in the case of capital projects that it:

(1) has afforded an adequate opportunity for public hearings pursuant to adequate prior notice, and held such hearings unless no one with a significant economic, social, or environmental interest in the matter, request a hearing;

(2) has considered the economic and social effects of the project and its impact on the environment; and

(3) has found that the project is consistent with official plans for the comprehensive development of the urban area.

Section 5323(a)(1) of the FTA Act, 49 U.S.C. 5301 et. seq.which requires, among other things, the recipient to provide to the maximum extent feasible for the participation of private mass transportation companies

Section 5323(d) of the FTA Act, 49 U.S.C. 5301 et. seq.which requires, among other things, the recipient to enter into an agreement with FTA not to provide charter service that will foreclose private operators

Section 5323(f) of the FTA Act, 49 U.S.C. 5301 et. seq.which requires, among other things, the recipient to enter into an agreement with FTA not to provide exclusive school bus operations

Section 5302 of the FTA Act, 49 U.S.C. 5301 et. seq.which provides definitions applicable to the use of grant funds

Section 5333 of the FTA Act, 49 U.S.C. 5301 et. seq.which requires, among other things, the recipient to comply with applicable labor requirements

Section 5311 of the Federal Transit Act, as amended, 49 U.S.C. 5301 et. seq.

Section 5332 of the FTA Act, 49 U.S.C. 5301 et. seq.which, among other things, prohibits discrimination on the basis of race, color, creed, national origin, sex or age

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Section 5310 of the FTA Act, 49 U.S.C. 5301 et. seq.which provides, among other things, for the planning and design of mass transportation facilities to meet the special needs of elderly persons and persons with disabilities.

Title VI of the Civil Rights Act of 1964, 42 U.S.C. 2000(d)which, among other things, prohibits discrimination on the basis of race, color or national origin by recipients of Federal financial assistanceTitle VII of the Civil Rights Act of 1964, 42 U.S.C. 2000(e)which, among other things, prohibits discrimination in employment Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 794 which, among other things, prohibits discrimination on the basis of handicap by recipients of Federal financial assistance "Hatch Act", 5 U.S.C. 1501, et seq. which, among other things, imposes certain restrictions on political activities of recipients of Federal financial assistance.

"Buy America Requirements", Section 165 of the Surface Transportation Assistance Act of 1982, P.L. 97-424 which, among other things, requires that steel, and manufactured products procured under FTA-funded contracts of a certain size be of domestic manufacture or origin (with four exceptions)

Davis-Bacon Act, as amended, 40 U.S.C. 276a, et seq.which requires, among other things, that all mechanics and laborers working on federally assisted construction projects (in excess of $2,000 contract value) be paid not less often than once a week, at wage rates computed at an amount not less than the prevailing wages for similar work in the same geographic area of the project

Copeland "Anti-Kickback" Act. 40 U.S.C. 874which, among other things, prohibits payroll deductions from the wages of employees who are covered by the Davis-Bacon Act for any reason except those specifically stated in the Copeland Act

Contract Work and Safety Standards Act, 40 U.S.C. 327-332which, among other things, establishes the required basis and conditions for hours of work and for overtime pay of laborers and mechanics, and directs the Department of Labor to formulate construction safety and health standards

National Environmental Policy Act of 1969, 42 U.S.C. 4321, et seq.which, among other things, prohibits Federal assistance that will adversely affect the quality of the environment

Uniform Relocation Assistance and Real Property Acquisition Policies Act of 1970, 42 U.S.C. 4610, et seq. which, among other things, establishes the terms and conditions for compensation to property owners and occupants who are displaced as a result of federally assisted projects

Archaeological and Historic Preservation Act of 1966, 16 U.S.C. 469a-1, et seq.which provides protection for historically valuable property

National Historic Preservation Act of 1966, 16 U.S.C. 470, et seq.which, among other things, provides for the protection of national historic sites

Federal Water Pollution Control Act, as amended by the Clean Water Act of 1977, 33 U.S.C. 1251, et seq. which, among other things, sets limits on pollutants discharged in international waterways and requires safeguard against spills from oil storage facilities

Clean Air Act of 1955, as amended 42 U.S.C. 7402, et seq.which, among other things, establishes national standards for vehicle emissions

Energy Policy and Conservation Act, 42 U.S.C. 6321

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which, among other things, authorizes development and implementation of State energy conservation plans

National Flood Insurance Act of 1968, 42 U.S.C. 4011, et seq.which, among other things, authorizes a national flood insurance program

Flood Disaster Protections Act of 1973, 42 U.S.C. 4012a, et seq.which, among other things, requires the purchase of flood insurance by recipients of Federal financial assistance who are located in areas having special flood hazards

Single Audit Act 1984, P.L. 98-502which establishes audit requirements for State and local governments that receive Federal aid

REGULATIONS49 C.F.R. Part 600, et seq.

regulations promulgated by FTA

49 C.F.R. Parts 21, 23, 25, 27, 37 and 38regulations promulgated by the Department of Transportation governing Title VI of the Civil Rights Act of 1964, Minority Business Enterprise, Relocation and Land Acquisition, Nondiscrimination on the Basis of Handicap, and the Americans with Disabilities Act, respectively.

36 C.F.R. Part 800regulations promulgated by the Advisory Council on Historic Preservation

46 C.F.R. Part 381regulations promulgated by the Maritime Administration governing cargo preference requirements

31 C.F.R. Part 205regulations promulgated by the Department of Treasury governing letter of credit

40 C.F.R. Part 15regulations promulgated by the Environmental Protection Agency pertaining to administration of Clean Air and Water Pollution requirements of grantees

29 C.F.R. Parts 5 and 215regulations promulgated by the Department of Labor pertaining to construction labor and transit employee protections

EXECUTIVE ORDERSE.O. 11246

which establishes requirements in construction activities for contracts over $10,000

E.O. 11988which establishes certain specific requirements related to flood protection and control

E.O. 12372which rescinds OMB Circular A-95 and establishes new procedures for State review of Federally funded projects

ADMINISTRATIVE REQUIREMENTSOffice of Management and Budget (OMB) Circular A-87

which provides cost principles applicable to grants and contracts with State and local governments

Office of Management and Budget (OMB) Circular A-102which provides uniform requirements for assistance to State and local governments

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Office of Management and Budget (OMB) Circular A-128which applies to audits of State and local governments

Se le c t i on a nd S i g n a tu r e P a g e (s) f ol l ow.

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FEDERAL FISCAL YEAR 2017 CERTIFICATIONS AND ASSURANCES CHECKLIST FOR FEDERAL TRANSIT ADMINISTRATION ASSISTANCE PROGRAMS

Name of Applicant: _________________________________________________________

The Applicant agrees to comply with applicable requirements of Categories 01 - 21. (The Applicant may make this selection in lieu of individual selections below) ___

OR

The Applicant agrees to comply with applicable requirements of the following categories it has selected:

01. Required Certifications and Assurances for each Applicant ___

02. Lobbying (Applies to grants in excess of $100,000) ___ 03. Private Sector Protections ___ 04. Rolling Stock Reviews and Bus Testing ___

05. Demand Responsive Services ___ 06. Intelligent Transportation Systems ___

07. Interest and Finance Costs and Acquisition of Capital Assets by Lease ___

08. Transit Asset Management Plan and Public Transportation Safety Program, and State Safety Oversight Requirements. ___

09. Alcohol and Controlled Substances Testing ___ 10. Fixed Guideway Capital Investment Program (New Starts, Small Starts & Core Capacity ___

Improvement) 11. State of Good Repair Program ___

12. Grants for Bus/Bus Facilities and Low or No Emission Vehicle Deployment Grant Programs ___

13. Urbanized Area Formula Grant Programs and Passenger Ferry Grant Program ___

14. Enhanced Mobility of Seniors and Individuals with Disabilities Programs ___

15. Rural Areas and Appalachian Development Programs ___

16. Tribal Transit Programs (Public Transportation on Indian Reservations Programs) ___

17. State Safety Oversight Grant Program ___

18. Public Transportation Emergency Relief Program ___

19. Expedited Project Delivery Pilot Program ___

20. Infrastructure Finance Programs ___

21. Hiring Preferences ___

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FTA Certifications and Assurances for Federal Fiscal Year 2017

Name of applicant: ___________________________________________________

Name and Relationship of Authorized Representative: _________________________________________

BY SIGNING BELOW, on behalf of the Applicant, I declare that the Applicant has duly authorized me to make these Certifications and Assurances and bind the Applicant’s compliance. Thus, the Applicant agrees to comply with all Federal statutes, regulations, executive orders, and administrative guidance and follow applicable Federal guidance, and comply with the Certifications and Assurances as indicated on the foregoing page applicable to each application its authorized representative makes to the Federal Transit Administration (FTA) in Federal Fiscal Year 2018, irrespective of whether the individual that acted on its Applicant’s behalf continues to represent the Applicant.

FTA intends that the Certifications and Assurances the Applicant selects on the other side of this document should apply, as provided, to each Project for which the Applicant seeks now, or may later seek FTA funding during Federal Fiscal Year 2018.

The Applicant affirms the truthfulness and accuracy of the Certifications and Assurances it has selected in the statements submitted herein with this document and any other submission made to FTA, and acknowledge that the provisions of the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and implemented by U.S. DOT regulations, “Program Fraud Civil Remedies”, 49 CFR Part 31 apply to any certification, assurance, or submission made to FTA. The criminal fraud provisions of 18 U.S.C. 1001 apply to any certification, assurance; or submission made in connection with the Federal public transportation program authorized in 49 U.S.C. Chapter 53 or any other statute. In signing this documentation, I declare under penalties of perjury that the foregoing Certifications and Assurances, and any other statements made by me on behalf of the Applicant are true and accurate.

Date: ______________

_______________________________________________ Authorized Representative of Applicant

AFFIRMATION OF APPLICANTS ATTORNEY

For ________________________________________________ (name of Applicant)

As the undersigned Attorney for above named Applicant, I hereby affirm to the Applicant that it has authority under State, local or tribal government law, to make and comply with the Certifications and Assurances as indicated on the foregoing pages, I further affirm that, in my opinion, the Certifications and Assurances have been legally made and constitute legal and binding obligations on the Applicant.

I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or imminent that might adversely affect the validity of these Certifications and Assurances or of the performance of the project.

Date:_________________

______________________________________________ Applicant’s Attorney

Unless the Applicant seeks only an FTA university and research training grant authorized by 49 U.S.C. 5312(b), the Applicant’s legal counsel is required to affirm the legal capacity of the Attorney’s affirmation.

FTA Certifications and Assurances for Fiscal Year 2018

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ATTACHMENT 5

LOCAL ASSURANCES

The hereby assures and certifies with respect to this application (Applicant)for Section 5311 assistance that:

1. The Applicant has the requisite fiscal, managerial, and legal capability to carry out the Section 5311 Program and to receive and disburse federal funds.

2. Some combination of state, local, and/or private funding sources has or will be committed to provide the required local share.

3. The Applicant has or will have by the time of delivery, sufficient funds to operate the vehicles and/or equipment purchased under this project, as applicable.

4. Private for-profit transit and paratransit operators have been afforded a fair and timely opportunity by the applicant to participate to the maximum extent feasible in the planning and provision of the proposed transit services.

5. The Applicant has to the maximum extent feasible coordinated with other transportation providers and users, including social service agencies capable of purchasing service.

  Signature of Authorized Official

  Title of Authorized Official

  Date

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ATTACHMENT 6

STATEMENT OF ACCEPTANCE OF THESPECIAL SECTION 5333(b) WARRANTY

All Applicants/Recipients must execute the following statement of acceptance:

The ____________________________ and _________________________________________ (Applicant) (Recipient/Contract Provider if not Applicant)Agree to make use of the Special Section 5333(b) Warranty developed for exclusive application to the Rural and Small Urban Transit Assistance Program – Section 5311 of the Federal Transit Act, as amended.

The Applicant and Recipient/Contract Provider agree to be bound by the terms and conditions of the Special Section 5333(b) Warranty for its pending Section 5311 assistance grant. This warranty shall become a part of any contract between INDOT and the applicant.

__________________________________ __________________Signed by Applicant Date

* * * * * * *

__________________________________ ___________________Signed by Recipient/Contract Provider Date

__________________________________ (Address)

__________________________________

__________________________________

__________________________________ (Telephone #)

__________________________________ (Fax #)

__________________________________ (E-Mail Address)

NOTE: The Warranty is provided in Appendix F for review.

** FTA requires that each sub-recipient post the Special Warranty (Appendix F) with Attachment 6 and Attachment 7 where affected employees may see it.

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ATTACHMENT 7

SPECIAL SECTION 5333(b) WARRANTYLIST OF PUBLIC TRANSPORTATION PROVIDERS & LABOR UNIONS

This form must be completed by all Applicants/Recipients. If there are no other eligible providers in your service area, mark a “N/A” under the Other Eligible Providers section.

Applicant:   Union Rep.:  

Service Area Description:  

___ Operating Assistance for FY ______

___ Capital Assistance to purchase ___________________________________________

Recipients/Contract Providers(if different than Applicant): Union Representation (Union & Local #):

   

   

   

   

Other Eligible Providers inApplicant’s Service Area: Union Representation (Union & Local #):

   

   

   

   

   

   

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ATTACHMENT 8

CATEGORICAL EXCLUSION CLASSIFICATION OF CAPITAL PROJECTS CHECKLIST

The following checklist identifies transit projects that are considered Categorical Exclusions (CEs) by FTA. Please check the category or categories under which your project should be classified. If your project does not fall under any of the standard categories, but you feel it meets the criterion of a CE (the project will have no significant impact on the environment), then provide project information justifying a Categorical Exclusion classification.

The ________________________________ capital project is a categorical exclusion because it is for: (Name of Applicant)

[ ] Planning and technical studies which will not fund the construction of facilities or acquisition of capital equip-ment.

[ ] Engineering to define the elements of a proposal or alternatives sufficiently so that environmental effects can be assessed.

[ ] Ridesharing activities and transportation corridor fringe parking facilities.

[ ] Program administration and technical assistance activities by the applicant to administer Section 5311 funds.

[ ] Project administration and operating assistance to continue existing service or increase service to meet demand.

[ ] Purchase of vehicles of the same type (same mode) either as replacements or to increase the size of the fleet where such increase can be accommodated by existing facilities or by new facilities which themselves are within a categorical exclusion.

[ ] Rehabilitation or reconstruction of existing rail and bus buildings and ancillary facilities where no additional land is required and there is no substantial increase in the number of users.

[ ] Purchase and installation of operating or maintenance equipment to be located within the transit facility and with no significant physical impacts off the site where the facility is located.

[ ] Installation of signs, small passenger and bus shelters, and traffic signs where no substantial land acquisi-tion or traffic disruption will occur.

[ ] Construction of new bus storage and maintenance facilities in areas used predominantly for industrial or transportation purposes where such construction is not inconsistent with existing zoning and located on or near a street with adequate capacity to handle anticipated bus and support vehicle traffic.

[ ] Acquisition of land in which the property will not be modified, the land use will not be changed, and displace-ments will not occur. For projects other than FTA advance land loans, this categorical exclusion is limited to the acquisition of minor amounts of land. This is undertaken for the purpose of maintaining the current land use and preserving alternatives to be considered in the environmental process. Advance land acquisition shall not limit the evaluation of alternatives, including shifts in alignment for a construction project, which may be required in the National Environmental Policy Act process.

[ ] Emergency repairs under 23 U.S.C. 125 which do not substantially change the design and are commenced during or immediately after the occurrence of a natural disaster or catastrophic failure.

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ATTACHMENT 9

Applicant’s Certification of Use of Project Equipment,Facilities and Property

_____________________________________________________________________

I hereby certify that Project equipment, facilities and property continue to be used in accordance with the terms and conditions of all applicable capital and operating grant agreements, and that no part of the local contribution has been refunded or reduced.

________________________________Name of Authorized Official

________________________________Signature of Authorized Official

________________________________Title of Authorized Official

_______________________________________Name of Applicant

________________________________Date

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ATTACHMENT 10PASS-THROUGH AGREEMENT

THIS AGREEMENT made this ___ day of _____________, 20__ among (County) Indiana, acting through the ___(Governing Body of County Commissioners)___ (hereinafter referred to as the “Applicant”) and_________(Service Provider)________, a private nonprofit corporation, (hereinafter referred to as the “Service Provider”), by its duly authorized representative(s), whose mailing address is: _______________________

____________________________.

WITNESSETH

WHEREAS, the Applicant has made application for the Operating Assistance Program under section 5311 of the Federal Transit Act with the Application incorporated and made a part of this Agreement by reference (see attached “Exhibit A”);

WHEREAS, the goals of the Operating Assistance Program are to enhance access to people in non-urbanized areas for purposes such as health care, shopping, education, recreation, public services, and employment;

WHEREAS, the Service Provider has the expertise and desire to provide said transportation; and

WHEREAS, the Applicant has agreed by resolution, or such similar instrument, to subcontract with the Service Provider.

NOW THEREFORE, in consideration of the mutual promises and covenants herein set forth, the Applicant and Service Provider agree as follows:

SECTION I: PurposeThe purpose of this Agreement is to provide for the undertaking of transportation services to the general public in and around ____________________________, Indiana,

hereinafter referred to as the “Project,” by the Service Provider as outlined in Section I, Paragraph A, Subparagraph 1 of the Application and to state the terms, conditions and mutual understandings of the parties as to the manner in which the Project will be undertaken and completed.

SECTION II: Project ImplementationThe Service Provider agrees, based on the Grant Assistance provided, to undertake and complete the Project as described in the Application, filed with the approval of the Indiana Department of Transportation (“INDOT”) and the Federal Transportation Administration (“FTA”) in accordance with the terms and conditions of this Agreement.

SECTION III: Project DurationThe Service Provider shall commence activities associated with the Project described in the Application from _______________, 20__ until _______________, 20__, as authorized by FTA and INDOT.

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SECTION IV: Level of FundingReimbursement to the Service Provider shall be through a cost reimbursement contract. These expenditure levels are contingent upon the necessary State and Federal funds to operate the Project. If State or Federal funding sources are not available and alternative funding cannot be obtained, the Project will be adjusted so as not to incur un-reimbursable expenses.

SECTION V: Eligible Project ExpendituresProject expenditures eligible for reimbursement under the Cost Reimbursement Contract are only for those expenditures which are eligible for Section 5311 reimbursement and are further identified in the budget form accompanying the Applicant’s Application.

Federal Office of Budget and Management Circular A-87 (OMB-A87) shall be used as guidance in establishing cost principals applicable to the grant.

SECTION VI: ReimbursementEligible Project costs will be reimbursed on a quarterly basis by the Applicant upon presentation of claim voucher, State Form 3211, by the Service Provider.

SECTION VII: Financial StatementThe Service Provider shall submit to the Applicant, at such times as it may require, such financial statements, records, and fiscal documents as may be deemed necessary by FTA and INDOT. Furthermore, the Service Provider shall submit to the Applicant an annual certified audit performed by an independent Certified Public Accountant (“CPA”). The Service Provider shall develop and maintain financial reports which are necessary for the effective control and management of operations and shall maintain financial records required by funding sources in accordance with generally accepted accounting procedures.

SECTION VIII: Audit and InspectionThe Service Provider shall permit the Applicant, INDOT, FTA, or their authorized representative, to inspect all vehicles, facilities and equipment purchased by the Applicant, including those obtained through the Section 5311 Project, all transportation services rendered by the Service Provider by the use of such vehicles, facilities and equipment and all relevant Project data and records. The Service Provider shall also permit the above-named persons to the books, records and accounts of the Service Provider pertaining to the Project. Any overpayment to the Service Provider as determined by an audit must be immediately refunded to the Applicant.

SECTION IX: Use of Applicant’s EquipmentAny vehicles, equipment or facilities purchased under the Section 5311 Assistance Program and titled in the name of the Applicant, hereinafter referred to as “Capital Assets,” are hereby leased to the Service Provider for an annual fee. The vehicles, equipment or facilities covered by this lease shall only be used by the Service Provider for the purpose of transportation services. Any fares, fees or other proceeds, including leases or sub-lease obtained by the Service Provider, shall be used in the performance of the transportation services and shall be reported quarterly to the Applicant. Any such proceeds shall be deducted from the monthly operating costs as allowed.

The Service Provider will maintain proper liability, collision, and property damage insurance for the service provided in the Project.

Upon the release of Capital Assets by FTA and INDOT, or in the event the Project is terminated, the Applicant will transfer ownership of any Capital Assets for which the Service Provider has provided the required local matching funds to the Service Provider.

SECTION X: Consultant ContractsContracts for consultant services in excess of $10,000 must be submitted by the Service Provider for review and prior approval by the Applicant, INDOT and FTA. The Applicant and/or Service Provider will

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abide by the requirements of FTA Circular 4220.1E (Third Party Contracting Requirements) in procuring services.

SECTION XI: Project Monitoring and Evaluation DataThe Service Provider will provide quarterly and monthly financial and ridership reports to the Applicant. The quarterly and monthly reports shall include revenue and expense statements including a detailed report of expenses by budget category as identified in the Budget Form accompanying the Applicant’s Application.

The Service Provider shall provide all data for the monitoring and evaluation of the Project as requested by INDOT and/or FTA. The Service Provider shall provide necessary information such as ridership, vehicle, hours of service, operations costs and revenues when such information is requested by INDOT and/or FTA.

SECTION XII: Changes in Project Scope or BudgetThe Service Provider shall immediately notify the State, FTA and the Applicant of any change in conditions, or of any event, which will affect its ability to perform the Project in accordance with the provisions of this Agreement.

SECTION XIII: Labor ProtectionProvisions of the Department of Labor Special Section 5333(b) Warranty signed by the Service Provider and the Applicant are hereby incorporated into this Agreement by reference (see attached “Appendix C”).

SECTION IXV: Equal Employment OpportunityIn connection with the execution of this Agreement, the Service Provider shall not discriminate against any employee or applicant for employment because of race, religion, color, sex, sexual orientation, gender identity or national origin. The Service Provider shall take affirmative action to insure the applicants are employed and treated fairly during their employment. Such action shall include, but not be limited to the following; employment, upgrade, demotion, or transfer, recruitment, or advertising, layoffs, or termination, rate of pay, or other forms of compensation; and selection for training including apprenticeship.

SECTION XV: Non-DiscriminationThe Service Provider agrees that as a condition to the Agreement that no otherwise qualified disabled person shall, solely by reason of race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, income status, or limited English proficiency, be excluded from participation in, be denied, the benefits of, or otherwise be subjected to discrimination under this program or activity that receives or benefits from Federal financial assistance administered by the Applicant through funding by the United States Department of Transportation.

SECTION XVI: Civil Rights Act of 1964The Service Provider shall comply with all requirements imposed under Title VI of the Civil Rights Act of 1964 (78 Stat. 252), as amended, and any and all regulations issued pursuant thereto (CFR Title 49, Subtitle A, Part 21).

SECTION XVII: Section 5311 Program ComplianceThe Service Provider shall comply with all other assurances and regulation included in the Section 5311 Program as cited in the Operating Assistance Application.

SECTION XVIII: TerminationThe Applicant may, by written notice to the Service Provider, terminate the Project and cancel this Agreement

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SECTION IXX: Agreement ChangesAny proposed change in this Agreement must have the approval of both the Applicant and the Service Provider prior to becoming effective.

SECTION XX: DisputeAny dispute concerning a question of fact in connection with purposes contained within this Agreement shall be referred to the Commissioner of INDOT, whose decision shall be final.

SECTION XXI: Responsibility for Claims and LiabilityThe Service Provider shall be responsible for and save harmless the Applicant for all damage to life and property due to activities of the Service Provider, its subcontractors, agents or employees, in connection with the execution of the Project.

SECTION XXII: Employment Eligibility VerificationAll Indiana governmental employers are required to utilize E-Verify to verify the work eligibility of all employees hired after June 30, 2011.  Additionally, all Indiana employers who have “public contracts for services” with a state agency or receive grants exceeding $1000 from a state agency will also be required to participate in the E-Verify Program.  The obligation for private employers will arise as a result of governmental employers (i.e. state agencies) being obligated to require recipients of public service contracts and grants in excess of $1000 entered into after or renewed after June 30, 2011,  to participate in E-Verify. In order to enroll in the E-Verify program contractors, grantees & sub-grantees may search www.everify.uscis.gov/enroll.

(Remainder of this page intentionally left blank)

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IN WITNESS WHEREOF, _______( Service Provider )_______ and ________(Applicant)_________ have caused this Agreement to be executed in their respective names.

EXECUTED THIS ____ DAY OF _________________, 20__ Date: ________________

By: ___________________________________ Authorized Representative of Applicant

Date: ________________

By: ___________________________________Authorized Service Provider Representative

CERTIFICATION OF APPLICANT’S ATTORNEY

I affirm that to the best of my knowledge the Applicant and Service Provider are in total compliance with all items and conditions of the grant agreement executed between the Indiana Department of Transportation and the Applicant, hereby incorporated by reference, and as attached as Exhibit A to this Agreement.

I further affirm that, to the best of my knowledge, there is no legislation or litigation pending or threatened that might adversely affect the validity of these certifications and assurances or of the performances of the Project. Furthermore, if I become aware of circumstances that change the accuracy of the foregoing statements, I will notify the Applicant, Service Provider and INDOT.

Date: ______________

By: ___________________________________

INDOT ISSUANCE OF MANAGEMENT DECISION PERTAINING TO FEDERAL GRANT AWARD

INDOT Office of Transit has verified that the sub-recipient has performed all federally required audits, if expected. This verification includes the assurance the sub-recipient took timely and appropriate action on all deficiencies pertaining to the federal award provided to the sub-recipient through audits, on-site reviews, and other means.

Section to be completed by INDOT (OT) upon review of audit report provided within this application. Identification of any audit findings pertaining to any federal transit awards allocated to the Applicant and Service Provider will require Management Decision in

order to receive ongoing federal transit awards.

INDOT Office of Transit has determined the audit findings pertaining to the Applicant and Service Provider identified within this agreement are sustained due to the following reasons;______________________________________________________________________________________________________________________________________________________________________________________________________________

If disallowed costs are expected, the following actions will be implemented to make financial adjustments or to repay those costs;______________________________________________________________________________________________________________________________________________________________________________________________________________

Date audit report was accepted by Federal Audit Clearinghouse: __________ Date of INDOT Management Decision: _________ (Management decision must be made within six months of FAC Acceptance)

List all reference #’s for audit findings: _______________________________________________________________________________________________________________________________________________________________________________

_______________________________________ _______________________________ ______________(INDOT 5311 Program Manager Signature) (Printed Name) (Date)

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ATTACHMENT 11

LETTER OF INTENT FOR ASSISTANCE (NEW APPLICANTS ONLY)

Please answer the questions below to help INDOT Office of Transit determine the level of assistance being requested. INDOT Office of Transit will review the information and forward the appropriate application and/or information as needed within any application deadlines.

Date: _____________

A. Name of Individual Requesting Information: _________________________________________________

B. Information being requested on the behalf of: (Please choose all that apply)

___ City Council ___ County Commissioner’s ___ Town Council

___ Public Transit Corporation ___ Regional Transit Authority ___ Regional Planning Commission

___ Non-profit Organization ___ Inter-city Provider ___ Other: (describe)

Please provide the name of the city, county, town, corp., non-profit, identified above: ______________

_______________________________________________________________________________________

C. I would like information for the following: (Please choose all that apply)

___ General information about rural public transit ___ Application Procedures

___ Feasibility Study Requirements ___ Feasibility Study Funding Assistance

___ 5311 Funds ___ 5311(f) Inter-city Funds ___ 5339 Capital Funds ___ PMTF

D. Was the entity identified in (B.) above, intending on applying for federal 5311/5339 funds from the upcoming calendar year appropriations? (Circle One) Y N

E. Is the federal 5311 funding assistance intended to be used for completion of the required feasibility study for new applicants? (Circle One) Y N

F. What is the approximate amount of 5311 funding assistance to be requested? ______________________

G. Briefly describe the proposed rural or small urban (under 50,000 pop.) area that would receive transit service if federal funding assistance is approved:

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APPENDIX A(DO NOT SUBMIT THIS FORM WITH APPLICATION)

SECTION 5311 BUDGET - EXPENSE AND REVENUE DEFINITIONS

EXPENSE DEFINITIONS

501 LABOR

501.01 Operators' Salaries and Wages: The pay and allowances due employees in exchange for the labor ser-vices they render on behalf of the transit system. This category includes only those employees who are classified as revenue vehicle operators.

501.02 Other Salaries and Wages: The labor and employees of the transit system who are not classified as revenue vehicles operators. This category includes dispatchers, mechanics, bus washers, building (garage) maintenance workers, etc. Also includes the labor of employees of the transit system (or sponsoring agency) who perform administrative functions, such as managers, other professionals, and clerical staff.

502 FRINGE BENEFITS - are payments or accruals to others (insurance companies, governments, etc.) on behalf of an employee. These include the employer's share of FICA, PERF, other retirement, health insurance, life insurance, dental plans, unemployment insurance, dental plans, unemployment insurance, workmen's compensation insurance, and other benefits not associated with a piece of work. Also included are payments or accruals directed to an employee arising from something other than his performance of a piece of work. These include uniform and work clothing allowances, and paid absences, such as sick leave, holidays, vacation, jury duty, death in the family, military duty, etc.

503 SERVICES - is labor and other work provided by outside organizations for fees and related expenses. In most instances, service from an outside organization is procured as a substitute for in-house employee labor, except in the case of independent audits which could not be performed by employees in the first place. The substitution is usually made because the skills offered by the outside organization are needed for only a short period of time or are better than internally available skills. The charge for these services is usually based on the labor hours invested in performing the service.

503.02 Advertising Fees: The labor and materials provided by an advertising agency in the development and production of advertising campaigns. Advertising media fees, regardless of whether they are paid to the advertising agency or to the media, are included in object class 509.08 (Miscellaneous Expense - Advertising/Promotion Media).

503.03 Professional and Technical Services: The labor provided by attorneys, accountants and auditors, mar-keting firms, investment banker, computer service companies, engineering firms, management consultants, transit industry consultants, etc. These services generally require specialized technical knowledge, and are usually performed under the supervision of the outside organization, rather than transit system personnel.

503.05 Contract Maintenance Service: The maintenance of equipment under contract or on a single job basis with an outside organization. This category is for repair or maintenance work on operating vehicles, equipment, and garage buildings only, and is differentiated from professional and custodial services.

503.06 Custodial Services: The performance of janitorial services, under contract or on a single job basis with an outside organization.

503.99 Other Services: All other services not specifically identified in 503.02 - 503.06.

504 MATERIALS AND SUPPLIES CONSUMED - are tangible products obtained from outside suppliers or manufac-tured internally. Freight-in, purchase discounts, cash discounts, sales taxes and excise taxes (except on fuel and lubricants) are to be included in the cost of the material or supply. Charges to these expense accounts will be for the materials and supplies issued from inventory for use and for the materials and supplies purchased for immediate use, i.e. without going through inventory.

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Appendix A (continued)

504.01 Fuel and Lubricants: Costs of gasoline, diesel fuel, propane, lubricating oil, grease, etc., for use in vehicles.

504.02 Tires and Tubes: 1) Cost of tires and tubes for replacement of tires and tubes on vehicles, and 2) lease payments for tires and tubes rented on a time or mileage basis.

504.99 Other Materials and Supplies: Cost of materials not specifically identified in 504.01 and 504.02 above, which are issued from inventory or purchased for immediate consumption. This category includes vehicle repair parts and maintenance supplies, office forms, cleaning supplies, etc.

505 UTILITIES - are payments made to various utilities for use of their resources, including electric, gas, water, sewer, garbage collection, telephone, etc.

506 CASUALTY AND LIABILITY COSTS - are costs of premium for insurance for coverage of the transit system against loss through damage to its own property, and for compensation of others for their losses due to acts for which the transit system is liable.

507 TAXES - are those taxes levied against the transit system by Federal, State, and local governments. Sales and excise taxes on materials and services purchased other than fuel and lubricants are not included in this category, but are to be accounted for as part of the base price of the material or service.

507.04 Vehicle Licensing and Registration Taxes: The fees assessed by Federal, State, and local govern-ments for granting authority to operate a motor vehicle.

507.05 Fuel and Lubricant Taxes: Transit systems that show fuel tax for gasoline as an expense should also show revenue from the State's fuel tax refund program that public transit systems are eligible to receive. Systems that include the tax in item 504.01 should note on their budget that they are doing so, and also show any fuel tax refund as a contra-expense under revenue category 407.04).

507.99 Other Taxes: All other taxes not specifically identified in 507.04 and 507.05.

508 PURCHASED TRANSPORTATION SERVICE - is a payment or accrual to other transit systems for providing transportation service. A descriptive note to the budget explaining these expenses must be provided.

509 MISCELLANEOUS EXPENSES - are those expenses which cannot be attributed to any of the other major expense categories (i.e., 501 - 508 and 512 - 518).

509.01 Dues and Subscriptions: Fees for membership in industry organizations and subscriptions to periodical publications to transit.

509.02 Travel and Meetings: 1) Fares and allowances for transportation of transit system employees and re-lated officials on airplanes, trains, etc.; 2) Expenses for food and lodging; 3) Charges for participation in industry conferences; 4) Other related business meeting expenses.

509.08 Other Miscellaneous Expenses: Postage, etc.

512 LEASES AND RENTALS - are payments for the use of capital assets not owned by the transit system. A note to the budget listing the item(s) and estimated cost must be provided for the leases and rentals line item.

517 EQUIPMENT - is equipment not included in an approved or programmed Capital Assistance Grant. A separate project description and justification must be incorporated in the operating grant for equipment which exceeds $1,000 total cost. The equipment to be purchased under the operating grant must also be itemized in a note to the project budget if it is in excess of $1,000 of total cost. The equipment line item may not exceed $3,000 and may not include vehicles of any type. An invoice for any expense(s) incurred under this line item must accompany the Section 5311 claim voucher.

Capital equipment purchased under an operating grant is subject to the requirements for submitting an annual use of project equipment certification, and other requirements outlined in OMB A-102.

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Appendix A (continued)

518 INDIRECT EXPENSE - is cost incurred for a common or joint purpose benefiting more than one cost objective. (Refer to Section Program Manual, OMB Circular A-87, Attachment A, page 9 for complete description of indirect expenses.)

* * * * *REVENUE DEFINITIONS

401 PASSENGER FARES - includes revenue earned from carrying passengers during regular transit service. This includes base fare, zone changes, transfer costs, and quantity purchase discounts applicable to the passenger's ride.

401.01 Full Adult: The revenue earned from carrying passengers who pay the full adult fare.

401.02 Senior Citizen: The revenue earned from carrying passengers who pay a special, reduced fare be-cause they are older than a prescribed age limit.

401.03 Student: The revenue earned from carrying passengers who pay a special, reduced fare because they are enrolled in an educational institution.

401.04 Child: The revenue earned from carrying passengers who pay a special, reduced fare because they are younger than a prescribed age limit.

401.05 Disabled: The revenue earned from carrying passengers who pay a special, reduced fare because they have a disability.

401.99 Other Fares: The revenue earned from carrying passengers who pay a special, reduced fare for some reason other than those specified in items 401.02 - 401.05.

402 SPECIAL TRANSIT FARES - includes revenues for rides given in regular transit service, but paid for by some organization rather than by the rider. Also, it includes rides given along special routes for which revenue is guaranteed by a beneficiary of the service.

402.03 Special Route Guarantees: The amounts paid by industrial firms, shopping centers, public and private universities, etc., to guarantee a minimum revenue on a line operated especially for the benefit of the payer.

402.04 State and Local Government Contracts: The revenue earned under contractual arrangements with state or local governments for transit fares.

402.05 Other Contracts: The revenue earned under contractual arrangements with nongovernmental entities for transit fares.

403 SCHOOL BUS SERVICE - revenues earned from operating vehicles under school bus contracts.

405 CHARTER SERVICE - includes revenues earned from operating vehicles under charter service contracts. The amount recorded should be net income generated from the charter service.

406 AUXILIARY TRANSPORTATION - includes revenues earned from operations closely associated with transporta-tion operations.

406.01 Station Concessions: The revenue earned from granting rights to concessionaires to operate news-stands, candy counters, etc., in transit system stations.

406.03 Advertising Services: The revenue earned from displaying advertising materials on transit system vehi-cles and property. The amounts recorded herein should be net of any fees paid to advertising agencies that place the advertisements with the transit system. This may be used as local match.

406.99 Other Auxiliary: The revenue earned from other auxiliary services during regular transit services; such as delivery of packages, telegrams, medicine, etc.

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Appendix A (continued)

407 NONTRANSPORTATION - includes revenue earned from activities not associated with the provision of transit service.

407.01 Sale of Maintenance Services: The revenue earned from performing maintenance services for other or-ganizations not associated with the transit property.

407.02 Rental of Revenue Vehicles: Revenue earned from leasing transit vehicles to other organizations.

407.04 Interest Income Earned on Working Capital (Contra-Expense): Income earned from fare box and fare box related revenue must be used to cover the total operating expenses (i.e., it is not eligible as local match). Income earned on non-fare box and other local funds may be used as either revenues to cover total expenses or local match.

407.99 Other nontransportation: Revenues earned from activities; such as park-and-ride lot revenues, etc.

450 OTHER CONTRA-EXPENSES - are revenue items which offset transit expenses and which are therefore eliminated from the deficits eligible for Section 5311 assistance. Four common types of other contra-expenses include: 1) Proceeds from the sale of equipment in excess of the depreciated value private operators only); 2) Cash discounts and refunds which directly offset accrued expenses; 3) Insurance claims and reimbursements which directly offset accrued liabilities; 4) State fuel tax rebates to public operators.

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APPENDIX B

SAMPLE CAPITAL BUDGET

( ) CAPITAL PROJECT BUDGET 5311/5339

CAPITAL PROJECT BUDGET (double-click spreadsheet to enter figures)SYSTEM NAME: Transit CityPROJECT TIME PERIOD: January 1, 2019 through June 30, 2020

Prepared by: John Q. Public Date: August 16, 2015

APPENDIX C

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SAMPLE FORMAT FOR NOTICE OF PUBLIC HEARING

NOTICE OF PUBLIC HEARING

RE: (Brief title or description of project, e.g., C.Y. 2019 Capital Assistance to purchase four small diesel transit vehicles.)

1. Notice is hereby given that a public hearing will be held by ( Applicant)   for the purpose of considering a grant for which federal capital assistance under Section 5311 of the Federal Transit Act, as amended, is being sought. The public hearing will be held on ________________________, 20   , at (a.m./p.m.) in (place) .

The project is generally described as follows:

A. Description of Project

Indicate the project period, name of applicant, and name(s) of public transportation operator(s) to be assisted.

Indicate capital items you will purchase or build.

Identify the estimated project cost, federal and local match, and the anticipated sources of local match.

B. Relocation

Only applies to acquisition of real or personal property and construction.

(Specify #)   persons, families and/or businesses are estimated to be displaced by this project. Persons, families and businesses so displaced will be afforded rights as required by the Uniform Relocation Assistance and Real Property Acquisition Act of 1970.

C. Environment

Only applies to acquisition of real or personal property and construction.

(Indicate whether the proposed project will or will not have a significant environmental impact upon the service area.)

2. At the hearing, (Applicant) will afford an opportunity for interested person, agencies and private transportation providers to be heard with respect to the social, environmental, and economic aspects of the grant. Interested persons may submit orally or in writing evidence and recommendations with respect to said grant at the public hearing.

3. A copy of the application is currently available for public inspection at (location) .

  Applicant's Authorized Representative

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APPENDIX D

SAMPLE FORMAT FOR OPPORTUNITY TO HOLD A PUBLIC HEARING

NOTICE OF OPPORTUNITY TO HOLD A PUBLIC HEARING

RE: (Brief title or description of project, e.g., C.Y. 2019 Capital Assistance to purchase four small diesel transit vehicles.)

1. Notice is hereby given that, (Applicant) will provide an opportunity for a public hearing for the purpose of considering a grant for which federal capital assistance under Section 5311 of the Federal Transit Act, as amended, is being sought. Any person interested in a hearing must submit a request in writing that a hearing be held by _______________________(Applicant) within a ten (10) day period, after the publication of this notice.

The project is generally described as follows:

A. Description of Project

Indicate the project period, name of applicant, and name(s) of public transportation operator(s) to be assisted.

Indicate capital items you will purchase or build.

Identify the estimated project cost, federal and local match, and the anticipated sources of local match.

B. Relocation

Only applies to acquisition of real or personal property and construction.

(Specify #) persons, families and/or businesses are estimated to be displaced by this project. Persons, families and businesses so displaced will be afforded rights as required by the Uniform Relocation Assistance and Real Property Acquisition Act of 1970.

C. Environment

Only applies to acquisition of real or personal property and construction.

(Indicate whether the proposed project will or will not have a significant environmental impact upon the service area.)

2. If a hearing is requested and scheduled, (Applicant) will afford an opportunity for interested person, agencies and private transportation providers to be heard with respect to the social, environmental, and economic aspects of the grant. Interested persons may submit orally or in writing evidence and recommendations with respect to said grant at the public hearing.

3. A copy of the application is currently available for public inspection at (location) .

  Applicant's Authorized Representative

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APPENDIX E

AUTHORIZING RESOLUTION

Resolution No.  

Resolution authorizing the filing of an application for a grant under Section 5311 of the Federal Transit Act, as amended.

WHEREAS, the U.S. Department of Transportation is authorized to make grants to states through the Federal Transit Administration (FTA) to support capital, operating and feasibility study assistance projects for nonurbanized public transportation systems under Section 5311 of the FTA Act of 1964, as amended;

WHEREAS, the Office of Transit, Indiana Department of Transportation (INDOT) has been designated by the Governor to make Section 5311 grants for public transportation projects;

WHEREAS, the contract for financial assistance will impose certain obligations upon the applicant, including the pro-vision by it of the local share of project costs;

NOW, THEREFORE, BE IT RESOLVED BY ___________ (Applicant)   :

1. That (Name and Title of Authorized Official)__ __   on behalf of ___________ ( Applicant)   is authorized to make the necessary assurances and certifications and be empowered to enter into an agreement with INDOT for the provision of rural public transportation services.

2. That (Name and Title of Transit Provider)__ ______   is authorized to execute and file an application on behalf of ___________ ( Applicant)   with the INDOT to aid in the financing of transit assistance projects pursuant to Section 5311 of the Federal Transit Act, as amended.

3. That (Name & Title of Transit Provider)______   , is authorized to furnish such additional information as INDOT may require in connection with the application.

4. That (Name & Title of Transit Provider)__   is authorized to execute grant contract agreements on behalf of ( Applicant) ______ .

CERTIFICATE

The undersigned duly qualified and acting (Title of Officer)   , of the ________________(Applicant)   certifies that the foregoing is a true and correct copy of a resolution adopted at a legally convened meeting of the ________________(Applicant)   held on   , 20   .

If Applicant has an official seal, impress here.

  Signature of Recording Officer

  Title of Recording Officer

  Date

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APPENDIX F(DO NOT SUBMIT THIS FORM WITH APPLICATION)

SPECIAL WARRANTY ARRANGEMENT For Application to Other Than Urbanized and Over-the-Road Bus Accessibility

ProjectsPURSUANT TO SECTION 5333(b) OF

TITLE 49 OF THE U.S. CODE, CHAPTER 53January 3, 2011

The following language shall be made part of the contract of assistance by reference in the Federal Transit Administration’s Master Agreement as signed by the grantee:

The terms and conditions set forth below shall apply for the protection of the transportation-related employees in the transportation service area of the Project.  As a precondition of the release of assistance by the Grantee/State Agency to any Recipient under the grant, the Grantee shall bind the Recipient to these obligations by incorporating this arrangement into the contract of assistance between the Grantee and the Recipient(s), by reference.  If a Grantee fails to comply with the terms of the Warranty and fails to bind a Recipient as a precondition to the release of funds, the Grantee will be a guarantor of the required protections and the Grantee will be required to act as if it were the Recipient of funds unless and until the Grantee is able to secure the retroactive agreement of the Recipient to be bound by the terms of the Warranty.

These protective arrangements are intended for the benefit of transit employees in the service area of the project, who are considered as third-party beneficiaries to the employee protective arrangements incorporated by referenced in the grant contract between the U.S. Department of Transportation and the Grantee, and the parties to the contract so signify by executing that contract.  Transit employees are also third party beneficiaries to the protective arrangements incorporated in subsequent contracts of assistance between the Grantee and any Recipient.  Employees, or their representative, may assert claims with respect to the protective arrangements under this provision.  This clause creates no independent cause of action against the United States Government.

The term “service area,” as used herein, includes the geographic area over which the Project is operated and the area whose population is served by the Project, including adjacent areas affected by the Project. The term “Union,” as used herein, shall refer to any labor organization representing employees providing public transportation services in the service area of a Project assisted under the grant. The term “employee,” as used herein, shall include individuals who may or may not be represented by a Union. The term “Recipient,” as used herein, shall refer to any employer(s) receiving transportation assistance under the grant.  The term “Grantee,” as used herein, shall refer to the applicant for assistance; a Grantee which receives assistance is also a Recipient.

Where the Department of Labor (the Department) deems it necessary to modify the requirements of this Special Warranty Arrangement so that a particular Grantee or Recipient can continue to satisfy the requirements of the statute, the Department will issue a supplementary certification letter setting forth the alternative provisions to be included in the contract of assistance between the Grantee and FTA, by reference. These terms will be made binding upon the particular Grantee or Recipient, along with these terms and conditions, for each subsequent grant of assistance until withdrawn in writing by the Department.

(1) The Project shall be carried out in such a manner and upon such terms and conditions as will not adversely affect employees of the Recipient and of any other surface public transportation provider in the transportation service area of the Project. It shall be an obligation of the Recipient to assure that any and all transportation services assisted by the Project are contracted for and operated in such a manner that they do not impair the rights and interests of affected employees. The term "Project," as used herein, shall not be limited to the particular facility,

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service, or operation assisted by Federal funds, but shall include any changes, whether organizational, operational, technological, or otherwise, which are a result of the assistance provided. The phrase "as a result of the Project," shall, when used in this arrangement, include events related to the Project occurring in anticipation of, during, and subsequent to the Project and any program of efficiencies or economies related thereto; provided, however, that volume rises and falls of business, or changes in volume and character of employment brought about solely by causes other than the Project (including any economies or efficiencies unrelated to the Project) are not within the purview of this arrangement.

An employee covered by this arrangement, who is not dismissed, displaced or otherwise worsened in his/her position with regard to employment as a result of the Project, but who is dismissed, displaced or otherwise worsened solely because of the total or partial termination of the Project or exhaustion of Project funding shall not be deemed eligible for a dismissal or displacement allowance within the meaning of paragraphs (6) and (7) of this arrangement.

(2) Where employees of a Recipient are represented for collective bargaining purposes, all Project services provided by that Recipient shall be provided under and in accordance with any collective bargaining agreement applicable to such employees which is then in effect. This Arrangement does not create any collective bargaining relationship where one does not already exist or between any Recipient and the employees of another employer. Where the Recipient has no collective bargaining relationship with the Unions representing employees in the service area, the Recipient will not take any action which impairs or interferes with the rights, privileges, and benefits and/or the preservation or continuation of the collective bargaining rights of such employees.

(3) All rights, privileges, and benefits (including pension rights and benefits) of employees covered by this arrangement (including employees having already retired) under existing collective bargaining agreements or otherwise, or under any revision or renewal thereof, shall be preserved and continued; provided, however, that such rights, privileges and benefits which are not foreclosed from further bargaining under applicable law or contract may be modified by collective bargaining and agreement by the Recipient and the Union involved to substitute other rights, privileges and benefits. Unless otherwise provided, nothing in this arrangement shall be deemed to restrict any rights the Recipient may otherwise have to direct the working forces and manage its business as it deemed best, in accordance with the applicable collective bargaining agreement.

(4) The collective bargaining rights of employees covered by this arrangement, including the right to arbitrate labor disputes and to maintain union security and checkoff arrangements, as provided by applicable laws, policies and/or existing collective bargaining agreements, shall be preserved and continued. Provided, however, that this provision shall not be interpreted so as to require the Recipient to retain any such rights which exist by virtue of a collective bargaining agreement after such agreement is no longer in effect.

     The Recipient agrees that it will bargain collectively with the Union or otherwise arrange for the continuation of collective bargaining, and that it will enter into agreements with the Union or arrange for such agreements to be entered into, relative to all subjects which are or may be proper subjects of collective bargaining. If, at any time, applicable law or contracts permit or grant to employees covered by this arrangement the right to utilize any economic measures, nothing in this arrangement shall be deemed to foreclose the exercise of such right.

(5)(a)  The Recipient shall provide to all affected employees sixty (60) days' notice of intended actions which may result in displacements or dismissals or rearrangements of the working forces as a result of the Project.  In the case of employees represented by a Union, such notice shall be provided by certified mail through their representatives.  The notice shall contain a full and adequate statement of the proposed changes, and an estimate of the number of employees affected by the intended changes, and the number and classifications of any jobs within the jurisdiction and control of the Recipient, including those in the employment of any entity bound

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by this arrangement pursuant to paragraph (21), available to be filled by such affected employees.

(5)(b) The procedures of this subparagraph shall apply to cases where notices involve employees represented by a Union for collective bargaining purposes. At the request of either the Recipient or the representatives of such employees, negotiations for the purposes of reaching agreement with respect to the application of the terms and conditions of this arrangement shall commence immediately. These negotiations shall include determining the selection of forces from among the mass transportation employees who may be affected as a result of the Project, to establish which such employees shall be offered employment for which they are qualified or can be trained. If no agreement is reached within twenty (20) days from the commencement of negotiations, any party to the dispute may submit the matter to dispute settlement procedures in accordance with paragraph (15) of this arrangement. Unless the parties otherwise mutually agree in writing, no change in operations, services, facilities or equipment within the purview of this paragraph (5) shall occur until after either: 1) an agreement with respect to the application of the terms and conditions of this arrangement to the intended change(s) is reached; 2) the decision of the arbitrator has been rendered pursuant to this subparagraph (b); or 3) an arbitrator selected pursuant to Paragraph (15) of this arrangement determines that the intended change(s) may be instituted prior to the finalization of implementing arrangements.

(5)(c) In the event of a dispute as to whether an intended change within the purview of this paragraph (5) may be instituted at the end of the 60-day notice period and before an implementing agreement is reached or a final arbitration decision is rendered pursuant to subparagraph (b), any involved party may immediately submit that issue to arbitration under paragraph (15) of this arrangement. In any such arbitration, the arbitrator shall rely upon the standards and criteria utilized by the Surface Transportation Board (and its predecessor agency, the Interstate Commerce Commission) to address the “preconsummation” issue in cases involving employee protections pursuant to 49 U.S.C. Section 11326 (or its predecessor, Section 5(2)(f) of the Interstate Commerce Act, as amended). If the Recipient demonstrates, as a threshold matter in any such arbitration, that the intended action is a trackage rights, lease proceeding or similar transaction, and not a merger, acquisition, consolidation, or other similar transaction, the burden shall then shift to the involved labor organization(s) to prove that under the standards and criteria referenced above, the intended action should not be permitted to be instituted prior to the effective date of a negotiated or arbitrated implementing agreement. If the Recipient fails to demonstrate that the intended action is a trackage rights, lease proceeding, or similar transaction, it shall be the burden of the Recipient to prove that under the standards and criteria referenced above, the intended action should be permitted to be instituted prior to the effective date of a negotiated or arbitrated implementing agreement. For purposes of any such arbitration, the time period within which the parties are to respond to the list of potential arbitrators submitted by the American Arbitration Association Service shall be five (5) days, the notice of hearing may be given orally or by facsimile, the hearing will be held promptly, the award of the arbitrator shall be rendered promptly and, unless otherwise agreed to by the parties, no later than fourteen (14) days from the date of closing the hearings, with five (5) additional days for mailing if posthearing briefs are requested by either party. The intended change shall not be instituted during the pendency of any arbitration proceedings under this subparagraph (c).

(5)(d) If an intended change within the purview of this paragraph (5) is instituted before an implementing agreement is reached or a final arbitration decision is rendered pursuant to subparagraph (b), all employees affected shall be kept financially whole, as if the noticed and implemented action has not taken place, from the time they are affected until the effective date of an implementing agreement or final arbitration decision. This protection shall be in addition to the protective period defined in paragraph (14) of this arrangement, which period shall begin on the effective date of the implementing agreement or final arbitration decision rendered pursuant to subparagraph (b).

     An employee selecting, bidding on, or hired to fill any position established as a result of a noticed and implemented action prior to the consummation of an implementing agreement or final arbitration decision shall accumulate no benefits under this arrangement as a result thereof

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during that period prior to the consummation of an implementing agreement or final arbitration decision pursuant to subparagraph (b).

(6)(a) Whenever an employee, retained in service, recalled to service, or employed by the Recipient pursuant to paragraphs (5), (7)(e), or (18) hereof is placed in a worse position with respect to compensation as a result of the Project, the employee shall be considered a "displaced employee", and shall be paid a monthly "displacement allowance" to be determined in accordance with this paragraph. Said displacement allowance shall be paid each displaced employee during the protective period so long as the employee is unable, in the exercise of his/her seniority rights, to obtain a position producing compensation equal to or exceeding the compensation the employee received in the position from which the employee was displaced, adjusted to reflect subsequent general wage adjustments, including cost of living adjustments where provided for.

(6)(b) The displacement allowance shall be a monthly allowance determined by computing the total compensation received by the employee, including vacation allowances and monthly compensation guarantees, and his/her total time paid for during the last twelve (12) months in which the employee performed compensated service more than fifty per centum of each such months, based upon the employee’s normal work schedule, immediately preceding the date of his/her displacement as a result of the Project, and by dividing separately the total compensation and the total time paid for by twelve, thereby producing the average monthly compensation and the average monthly time paid for. Such allowance shall be adjusted to reflect subsequent general wage adjustments, including cost of living adjustments where provided for. If the displaced employee's compensation in his/her current position is less in any month during his/her protective period than the aforesaid average compensation (adjusted to reflect subsequent general wage adjustments, including cost of living adjustments where provided for), the employee shall be paid the difference, less compensation for any time lost on account of voluntary absences to the extent that the employee is not available for service equivalent to his/her average monthly time, but the employee shall be compensated in addition thereto at the rate of the current position for any time worked in excess of the average monthly time paid for. If a displaced employee fails to exercise his/her seniority rights to secure another position to which the employee is entitled under the then existing collective bargaining agreement, and which carries a wage rate and compensation exceeding that of the position which the employee elects to retain, the employee shall thereafter be treated, for the purposes of this paragraph, as occupying the position the employee elects to decline.

(6)(c) The displacement allowance shall cease prior to the expiration of the protective period in the event of the displaced employee's resignation, death, retirement, or dismissal for cause in accordance with any labor agreement applicable to his/her employment.

(7)(a) Whenever any employee is laid off or otherwise deprived of employment as a result of the Project, in accordance with any collective bargaining agreement applicable to his/her employment, the employee shall be considered a "dismissed employee" and shall be paid a monthly dismissal allowance to be determined in accordance with this paragraph. Said dismissal allowance shall first be paid each dismissed employee on the thirtieth (30th) day following the day on which the employee is "dismissed" and shall continue during the protective period, as follow:

Employee's length of service   prior to adverse effect                              Period of protection1 day to 6 years                                   equivalent period6 years or more                                          6 years

     The monthly dismissal allowance shall be equivalent to one-twelfth (1/12th) of the total compensation received by the employee in the last twelve (12) months of his/her employment in which the employee performed compensation service more than fifty per centum of each such month based on the employee’s normal work schedule to the date on which the employee was first deprived of employment as a result of the Project. Such allowance shall be adjusted to

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reflect subsequent general wage adjustments, including cost of living adjustments where provided for.

(7)(b) An employee shall be regarded as deprived of employment and entitled to a dismissal allowance when the position the employee holds is abolished as a result of the Project, or when the position the employee holds is not abolished but the employee loses that position as a result of the exercise of seniority rights by an employee whose position is abolished as a result of the Project or as a result of the exercise of seniority rights by other employees brought about as a result of the Project, and the employee is unable to obtain another position, either by the exercise of the employee’s seniority rights, or through the Recipient, in accordance with subparagraph (e). In the absence of proper notice followed by an agreement or decision pursuant to paragraph (5) hereof, no employee who has been deprived of employment as a result of the Project shall be required to exercise his/her seniority rights to secure another position in order to qualify for a dismissal allowance hereunder.

(7)(c) Each employee receiving a dismissal allowance shall keep the Recipient informed as to his/her current address and the current name and address of any other person by whom the employee may be regularly employed, or if the employee is self-employed.

(7)(d) The dismissal allowance shall be paid to the regularly assigned incumbent of the position abolished. If the position of an employee is abolished when the employee is absent from service, the employee will be entitled to the dismissal allowance when the employee is available for service. The employee temporarily filling said position at the time it was abolished will be given a dismissal allowance on the basis of that position, until the regular employee is available for service, and thereafter shall revert to the employee’s previous status and will be given the protections of the agreement in said position, if any are due him/her.

(7)(e) An employee receiving a dismissal allowance shall be subject to call to return to service by the employee’s former employer; notification shall be in accordance with the terms of the then-existing collective bargaining agreement if the employee is represented by a union. Prior to such call to return to work by his/her employer, the employee may be required by the Recipient to accept reasonably comparable employment for which the employee is physically and mentally qualified, or for which the employee can become qualified after a reasonable training or retraining period, provided it does not require a change in residence or infringe upon the employment rights of other employees under then-existing collective bargaining agreements.

(7)(f) When an employee who is receiving a dismissal allowance again commences employment in accordance with subparagraph (e) above, said allowance shall cease while the employee is so reemployed, and the period of time during which the employee is so reemployed shall be deducted from the total period for which the employee is entitled to receive a dismissal allowance. During the time of such reemployment, the employee shall be entitled to the protections of this arrangement to the extent they are applicable.

(7)(g) The dismissal allowance of any employee who is otherwise employed shall be reduced to the extent that the employee’s combined monthly earnings from such other employment or self-employment, any benefits received from any unemployment insurance law, and his/her dismissal allowance exceed the amount upon which the employee’s dismissal allowance is based. Such employee, or his/her union representative, and the Recipient shall agree upon a procedure by which the Recipient shall be kept currently informed of the earnings of such employee in employment other than with the employee’s former employer, including self-employment, and the benefits received.

(7)(h) The dismissal allowance shall cease prior to the expiration of the protective period in the event of the failure of the employee without good cause to return to service in accordance with the applicable labor agreement, or to accept employment as provided under subparagraph (e) above, or in the event of the employee’s resignation, death, retirement, or dismissal for cause in accordance with any labor agreement applicable to his/her employment.

(7)(i) A dismissed employee receiving a dismissal allowance shall actively seek and not refuse

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other reasonably comparable employment offered him/her for which the employee is physically and mentally qualified and does not require a change in the employee’s place of residence. Failure of the dismissed employee to comply with this obligation shall be grounds for discontinuance of the employee’s allowance; provided that said dismissal allowance shall not be discontinued until final determination is made either by agreement between the Recipient and the employee or his/her representative, or by final arbitration decision rendered in accordance with paragraph (15) of this arrangement that such employee did not comply with this obligation.

(8) In determining length of service of a displaced or dismissed employee for purposes of this arrangement, such employee shall be given full service credits in accordance with the records and labor agreements applicable to him/her and the employee shall be given additional service credits for each month in which the employee receives a dismissal or displacement allowance as if the employee were continuing to perform services in his/her former position.

(9) No employee shall be entitled to either a displacement or dismissal allowance under paragraphs (6) or (7) hereof because of the abolishment of a position to which, at some future time, the employee could have bid, been transferred, or promoted.

(10) No employee receiving a dismissal or displacement allowance shall be deprived, during the employee’s protected period, of any rights, privileges, or benefits attaching to his/her employment, including, without limitation, group life insurance, hospitalization and medical care, free transportation for the employee and the employee’s family, sick leave, continued status and participation under any disability or retirement program, and such other employee benefits as Railroad Retirement, Social Security, Workmen's Compensation, and unemployment compensation, as well as any other benefits to which the employee may be entitled under the same conditions and so long as such benefits continue to be accorded to other employees of the bargaining unit, in active service or furloughed as the case may be.

(11)(a) Any employee covered by this arrangement who is retained in the service of his/her employer, or who is later restored to service after being entitled to receive a dismissal allowance, and who is required to change the point of his/her employment in order to retain or secure active employment with the Recipient in accordance with this arrangement, and who is required to move his/her place of residence, shall be reimbursed for all expenses of moving his/her household and other personal effects, for the traveling expenses for the employee and members of the employee’s immediate family, including living expenses for the employee and the employee’s immediate family, and for his/her own actual wage loss during the time necessary for such transfer and for a reasonable time thereafter, not to exceed five (5) working days. The exact extent of the responsibility of the Recipient under this paragraph, and the ways and means of transportation, shall be agreed upon in advance between the Recipient and the affected employee or the employee’s representatives.

(11)(b) If any such employee is laid off within three (3) years after changing his/her point of employment in accordance with paragraph (a) hereof, and elects to move his/her place of residence back to the original point of employment, the Recipient shall assume the expenses, losses and costs of moving to the same extent provided in subparagraph (a) of this paragraph (11) and paragraph (12)(a) hereof.

(11)(c) No claim for reimbursement shall be paid under the provisions of this paragraph unless such claim is presented to the Recipient in writing within ninety (90) days after the date on which the expenses were incurred.

(11)(d) Except as otherwise provided in subparagraph (b), changes in place of residence, subsequent to the initial changes as a result of the Project, which are not a result of the Project but grow out of the normal exercise of seniority rights, shall not be considered within the purview of this paragraph.

(12)(a) The following conditions shall apply to the extent they are applicable in each instance to any employee who is retained in the service of the employer (or who is later restored to service after being entitled to receive a dismissal allowance), who is required to change the point of

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his/her employment as a result of the Project, and is thereby required to move his/her place of residence.

    If the employee is under a contract to purchase his/her home, the Recipient shall protect the employee against loss under such contract, and in addition, shall relieve the employee from any further obligation thereunder.

If the employee holds an unexpired lease of a dwelling occupied as the employee’s home, the Recipient shall protect the employee from all loss and cost in securing the cancellation of said lease.

(12)(b) No claim for loss shall be paid under the provisions of this paragraph unless such claim is presented to the Recipient in writing within one year after the effective date of the change in residence.

(12)(c) Should a controversy arise in respect to the value of the home, the loss sustained in its sale, the loss under a contract for purchase, loss and cost in securing termination of a lease, or any other question in connection with these matters, it shall be decided through a joint conference between the employee, or his/her union, and the Recipient. In the event they are unable to agree, the dispute or controversy may be referred by the Recipient or the union to a board of competent real estate appraisers selected in the following manner: one (1) to be selected by the representatives of the employee, and one (1) by the Recipient, and these two, if unable to agree within thirty (30) days upon the valuation, shall endeavor by agreement with ten (10) days thereafter to select a third appraiser or to agree to a method by which a third appraiser shall be selected, and failing such agreement, either party may request the State and local Board of Real Estate Commissioners to designate within ten (10) days a third appraiser, whose designation will be binding upon the parties and whose jurisdiction shall be limited to determination of the issues raised in this paragraph only. A decision of a majority of the appraisers shall be required and said decision shall be final, binding, and conclusive. The compensation and expenses of the neutral appraiser including expenses of the appraisal board, shall be borne equally by the parties to the proceedings. All other expenses shall be paid by the party incurring them, including the compensation of the appraiser selected by such party.

(12)(d) Except as otherwise provided in paragraph (11)(b) hereof, changes in place of residence, subsequent to the initial changes as a result of the Project, which are not a result of the Project but grow out of the normal exercise of seniority rights, shall not be considered within the purview of this paragraph.

(12)(e) "Change in residence" means transfer to a work location which is either (A) outside a radius of twenty (20) miles of the employee's former work location and farther from the employee’s residence than was his/her former work location, or (B) is more than thirty (30) normal highway route miles from the employee’s residence and also farther from his/her residence than was the employee’s former work location.

(13)(a) A dismissed employee entitled to protection under this arrangement may, at the employee’s option within twenty-one (21) days of his/her dismissal, resign and (in lieu of all other benefits and protections provided in this arrangement) accept a lump sum payment computed in accordance with section (9) of the Washington Job Protection Agreement of May 1936:

Length of Service                     Separation Allowance  1 year and less than 2 years                       3 months' pay  2 years and less than 3 years                      6 months’ pay    3 years and less than 5 years                      9 months’ pay   5 years and less than 10 years                   12 months’ pay  10 years and less than 15 years                   12 months’ pay  15 years and over                            12 months’ pay

    In the case of an employee with less than one year's service, five days' pay, computed by multiplying by 5 the normal daily earnings (including regularly scheduled overtime, but excluding

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other overtime payments) received by the employee in the position last occupied, for each month in which the employee performed service, will be paid as the lump sum.

Length of service shall be computed as provided in Section 7(b) of the Washington Job Protection Agreement, as follows:

For the purposes of this arrangement, the length of service of the employee shall be determined from the date the employee last acquired an employment status with the employing carrier and the employee shall be given credit for one month's service for each month in which the employee performed any service (in any capacity whatsoever) and twelve (12) such months shall be credited as one year's service. The employment status of an employee shall not be interrupted by furlough in instances where the employee has a right to and does return to service when called. In determining length of service of an employee acting as an officer or other official representative of an employee organization, the employee will be given credit for performing service while so engaged on leave of absence from the service of a carrier.

(13)(b) One month's pay shall be computed by multiplying by 30 the normal daily earnings (including regularly scheduled overtime, but excluding other overtime payments) received by the employee in the position last occupied prior to time of the employee’s dismissal as a result of the Project.

(14) Whenever used herein, unless the context requires otherwise, the term "protective period" means that period of time during which a displaced or dismissed employee is to be provided protection hereunder and extends from the date on which an employee is displaced or dismissed to the expiration of six (6) years therefrom, provided, however, that the protective period for any particular employee during which the employee is entitled to receive the benefits of these provisions shall not continue for a longer period following the date the employee was displaced or dismissed than the employee's length of service, as shown by the records and labor agreements applicable to his/her employment prior to the date of the employee’s displacement or dismissal.

(15)(a) In the event that employee(s) are represented by a Union, any dispute, claim, or grievance arising from or relating to the interpretation, application or enforcement of the provisions of this arrangement, not otherwise governed by paragraph 12(c), the Labor-Management Relations Act, as amended, the Railway Labor Act, as amended, or by impasse resolution provisions in a collective bargaining or protective arrangement involving the Recipient and the Union, which cannot be settled by the parties thereto within thirty (30) days after the dispute or controversy arises, may be referred by any such party to any final and binding disputes settlement procedure acceptable to the parties. In the event they cannot agree upon such procedure, the dispute, claim, or grievance may be submitted at the written request of the Recipient or the Union to final and binding arbitration. Should the parties be unable to agree upon the selection of a neutral arbitrator within ten (10) days, any party may request the American Arbitration Association to furnish, from among arbitrators who are then available to serve, five (5) arbitrators from which a neutral arbitrator shall be selected. The parties shall, within five (5) days after the receipt of such list, determine by lot the order of elimination and thereafter each shall, in that order, alternately eliminate one name until only one name remains. The remaining person on the list shall be the neutral arbitrator. Unless otherwise provided, in the case of arbitration proceedings, under paragraph (5) of this arrangement, the arbitration shall commence within fifteen (15) days after selection or appointment of the neutral arbitrator, and the decision shall be rendered within forty-five (45) days after the hearing of the dispute has been concluded and the record closed. The decision shall be final and binding. All the conditions of the arrangement shall continue to be effective during the arbitration proceedings.

(15)(b)  The compensation and expenses of the neutral arbitrator, and any other jointly incurred expenses, shall be borne equally by the Union(s) and Recipient, and all other expenses shall be paid by the party incurring them.

(15)(c)  In the event that employee(s) are not represented by a Union, any dispute, claim, or grievance arising from or relating to the interpretation, application or enforcement of the provisions of this arrangement which cannot be settled by the Recipient and the employee(s)

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within thirty (30) days after the dispute or controversy arises, may be referred by any such party to any final and binding dispute settlement procedure acceptable to the parties, or in the event the parties cannot agree upon such a procedure, the dispute or controversy may be referred to the Secretary of Labor for a final and binding determination.

(15)(d)  In the event of any dispute as to whether or not a particular employee was affected by the Project, it shall be the obligation of the employee or the representative of the employee to identify the Project and specify the pertinent facts of the Project relied upon.  It shall then be the burden of the Recipient to prove that factors other than the Project affected the employee.  The claiming employee shall prevail if it is established that the Project had an effect upon the employee even if other factors may also have affected the employee. (See Hodgson's Affidavit in Civil Action No. 825-71).

(16)  The Recipient will be financially responsible for the application of these conditions and will make the necessary arrangements so that any employee covered by this arrangement may file a written claim of its violation, through the Union, or directly if the employee is outside the bargaining unit, with the Recipient within sixty (60) days of the date the employee is terminated or laid off as a result of the Project, or within eighteen (18) months of the date the employee’s position with respect to his/her employment is otherwise worsened as a result of the Project.  In the latter case, if the events giving rise to the claim have occurred over an extended period, the 18-month limitation shall be measured from the last such event.  No benefits shall be payable for any period prior to six (6) months from the date of the filing of any claim. Unless such claims are filed with the Recipient within said time limitations, the Recipient shall thereafter be relieved of all liabilities and obligations related to the claim. 

     The Recipient will fully honor the claim, making appropriate payments, or will give notice to the claimant or his/her representative of the basis for denying or modifying such claim, giving reasons therefore.  If the Recipient fails to honor such claim, the Union or non-bargaining unit employee may invoke the following procedures for further joint investigation of the claim by giving notice in writing. Within ten (10) days from the receipt of such notice, the parties shall exchange such factual material as may be requested of them relevant to the disposition of the claim and shall jointly take such steps as may be necessary or desirable to obtain from any third party such additional factual materials as may be relevant.  In the event the Recipient rejects the claim, the claim may be processed to arbitration as hereinabove provided by paragraph (15).

(17)  Nothing in this arrangement shall be construed as depriving any employee of any rights or benefits which such employee may have under existing employment or collective bargaining agreements or otherwise; provided that there shall be no duplication of benefits to any employee, and, provided further, that any benefit under this arrangement shall be construed to include the conditions, responsibilities, and obligations accompanying such benefit. This arrangement shall not be deemed a waiver of any rights of any Union or of any represented employee derived from any other agreement or provision of federal, state or local law.

(18)  During the employee's protective period, a dismissed employee shall, if the employee so requests, in writing, be granted priority of employment or reemployment to fill any vacant position within the jurisdiction and control of the Recipient reasonably comparable to that which the employee held when dismissed, including those in the employment of any entity bound by this arrangement pursuant to paragraph (21) herein, for which the employee is, or by training or retraining can become, qualified; not, however, in contravention of collective bargaining agreements related thereto.  In the event such employee requests such training or re-training to fill such vacant position, the Recipient shall provide for such training or re-training at no cost to the employee.  The employee shall be paid the salary or hourly rate provided for in the applicable collective bargaining agreement or otherwise established in personnel policies or practices for such position, plus any displacement allowance to which the employee may be otherwise entitled.  If such dismissed employee who has made such request fails, without good cause, within ten (10) days to accept an offer of a position comparable to that which the employee held when dismissed for which the employee is qualified, or for which the employee has satisfactorily

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completed such training, the employee shall, effective at the expiration of such ten-day period, forfeit all rights and benefits under this arrangement.

     As between employees who request employment pursuant to this paragraph, the following order where applicable shall prevail in hiring such employees:

   (a)  Employees in the craft or class of the vacancy shall be given priority over employees without seniority in such craft or class;

   (b)  As between employees having seniority in the craft or class of the vacancy, the senior employees, based upon their service in that craft or class, as shown on the appropriate seniority roster, shall prevail over junior employees;

   (c)  As between employees not having seniority in the craft or class of the vacancy, the senior employees, based upon their service in the crafts or classes in which they do have seniority as shown on the appropriate seniority rosters, shall prevail over junior employees.

(19)  The Recipient will post, in a prominent and accessible place, a notice stating that the Recipient has received federal assistance under the Federal Transit statute and has agreed to comply with the provisions of 49 U.S.C., Section 5333(b).  This notice shall also specify the terms and conditions set forth herein for the protection of employees.  The Recipient shall maintain and keep on file all relevant books and records in sufficient detail as to provide the basic information necessary to the proper application, administration, and enforcement of this arrangement and to the proper determination of any claims arising thereunder.

(20)  In the event the Project is approved for assistance under the statute, the foregoing terms and conditions shall be made part of the contract of assistance between the federal government and the applicant for federal funds and between the applicant and any recipient of federal funds; provided, however, that this arrangement shall not merge into the contract of assistance, but shall be independently binding and enforceable by and upon the parties thereto, and by any covered employee or his/her representative, in accordance with its terms, nor shall any other employee protective agreement merge into this arrangement, but each shall be independently binding and enforceable by and upon the parties thereto, in accordance with its terms.

(21)  This arrangement shall be binding upon the successors and assigns of the parties hereto, and no provisions, terms, or obligations herein contained shall be affected, modified, altered, or changed in any respect whatsoever by reason of the arrangements made by or for the Recipient to manage and operate the system.

     Any person, enterprise, body, or agency, whether publicly - or privately-owned, which shall undertake the management, provision and/or operation of the Project services or the Recipient’s transit system, or any part or portion thereof, under contractual arrangements of any form with the Recipient, its successors or assigns, shall agree to be bound by the terms of this arrangement and accept the responsibility with the Recipient for full performance of these conditions.  As a condition precedent to any such contractual arrangements, the Recipient shall require such person, enterprise, body or agency to so agree.

(22)     In the event of the acquisition, assisted with Federal funds, of any transportation system or services, or any part or portion thereof, the employees of the acquired entity shall be assured employment, in comparable positions, within the jurisdiction and control of the acquiring entity, including positions in the employment of any entity bound by this arrangement pursuant to paragraph (21).  All persons employed under the provisions of this paragraph shall be appointed to such comparable positions without examination, other than that required by applicable federal, state or federal law or collective bargaining agreement, and shall be credited with their years of service for purposes of seniority, vacations, and pensions in accordance with the records of their former employer and/or any applicable collective bargaining agreements.

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(23)  The employees covered by this arrangement shall continue to receive any applicable coverage under Social Security, Railroad Retirement, Workmen's Compensation, unemployment compensation, and the like.  In no event shall these benefits be worsened as a result of the Project.

(24)  In the event any provision of this arrangement is held to be invalid, or otherwise unenforceable under the federal, state, or local law, in the context of a particular Project, the remaining provisions of this arrangement shall not be affected and the invalid or unenforceable provision shall be renegotiated by the Recipient and the interested Union representatives, if any, of the employees involved for purpose of adequate replacement under Section 5333(b).  If such negotiation shall not result in mutually satisfactory agreement any party may invoke the jurisdiction of the Secretary of Labor to determine substitute fair and equitable employee protective arrangements for application only to the particular Project, which shall be incorporated in this arrangement only as applied to that Project, and any other appropriate action, remedy, or relief.

(25)  If any employer of the employees covered by this arrangement shall have rearranged or adjusted its forces in anticipation of the Project, with the effect of depriving an employee of benefits to which the employee should be entitled under this arrangement, the provisions of this arrangement shall apply to such employee as of the date when the employee was so affected.

 

Last Updated: 02-07-18

APPENDIX GSection 5339

Vehicle Price Sheet__________________________________________________________________________________________________________________________________________________________________________________________________________________

The information included with this form is intended to assist applicants requesting federal 5339 funding for vehicle replacement.

DO NOT SUBMIT THIS FORM WITH THE 5311/5339 GRANT APPLICATION. THIS FORM IS FOR INFORMATIONAL PURPOSES ONLY

A. The vehicles listed below are available for purchase as identified in the Quantity Purchase Agreement (QPA) with The State of Indiana effective 03/11/2016 – 3/10/2018.

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B. Vehicles will be available and funded with 80/20 matching requirements.

C. Federal 5339 funding may be used to pay for 80% of the TOTAL UNIT PRICE of the vehicle only. Options purchased that increase the total cost of the vehicle above and beyond the total unit price will be required to be paid with local funds. (Applicants will be provided a complete vehicle options pricing list at the time of INDOT distribution of capital contracts and purchase orders.)

D. 2019 VEHICLE AVAILABILITY AND PRICING

Model Year

Vehicle Type

Base Unit Price

Possible QPA Price

Increase Total Unit Price Federal

80%Local 20%

2019 Low Floor Mini Van 33,803 $3,200 $37,000 $29,600 $7,400

2019 Small Transit w/lift $47,553 $950 $48,500 $38,800 $9,700

2019 Medium Transit w/lift $51,974 $1,040 $53,000 $42,400 $10,600

2019 Large Transit w/lift $53,934 $1,080 $55,000 $44,000 $11,000

E. Applicants requesting 5339 funding for vehicles are required to complete the 5339 capital funding portions of the CY2019 5311/5339 Grant Application.

F. Applicants awarded 5339 funding for vehicles will be notified upon INDOT approval. Criteria for awarding vehicles are based on the following:

1. Priority will be given to vehicle replacement.2. New purchases must allow system to maintain INDOT’s ADA Vehicle Compliance ratio. 3. Vehicle requests must be justified based on mileage, age and condition of current vehicles.4. Expansion vehicles must have justification and proof of expanded service needs.

G. INDOT Office of Transit will provide additional vehicle purchase procedures at the time the fully executed grant contract is distributed.

APPENDIX HGrant Application Checklist

(COMPLETE COLUMN “B” and SUBMIT FORM WITH GRANT APPLICATION)

COLUMN A COLUMN B “Place X”

Required InformationI.A.1.Type and description of current serviceA.2. Description of service areaA.3. Annual ridership dataA.4. Clientele descriptionB.1.a. Identification of service typeB.1.b. Existing, expansion, or new serviceB.2. Capital project description

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C.1. Operating budget – Attachment 1 C.2.a.b.c. Operating budget analysis – Attachment 2 C.3. Capital budget – Attachments 3 C.4.a. Staff description of procurement experienceC.4.b. Implementation of procurement processC.4.c. Identification of procurement processC.5.a. Description of organizationC.5.b.1. Identification of the applicantC.5.b.2. Identification of company/organization to provide transit serviceC.5.b.3. Identification of public/private transit providers within service areaC.5.c. Management plan – Description of management transit experienceC.5.d. Marketing plan – Description of promotional techniques C.6.a. Description of performance standards, monitoring and evaluation procedures C.6.b. Description of techniques to contain operating costs and maximize revenuesC.6.c. Brokerage service operating improvement plansII.A.1.a. Description of public involvement in grant planning to include LEP populationsA.1.b. Description of TAC committees and transit boardsA.2.a. Proof of publication for public hearing – Appendix C & D (Capital Grants Only) III.A.1. Description of local transit needsA.2. Determination of local transit needs methodology A.3. Existing transit impact A.4. Determination of capital equipment needs (Capital Grants Only)B.1-3 Description of how funds will meet project needsIV.A.1. Authorizing Resolution – Appendix E. A.2. Standard Certifications and Assurances – Attachment 4A.3. Local Assurances – Attachment 5A.4.b.(1) Identification of DBE contracting opportunities A.4.b.(2) Analysis of DBE availability A.4.b.(3) Establishment of contract goals for DBE A.4.b.(4) Description of DBE “Good Faith Effort” processA.4.b.(5) Description of possible DBE firm usage A.4.b.(6) Description of DBE record keeping processA.5.a. Identification of Title VI complaints, lawsuits and description of outcomesA.5.b. Description of all pending federal funding applications A.5.c. Summarization of all civil rights compliance review activities within last (3) yearsA.6. Labor Protection – Attachment 6 & 7A.7 Categorical Exclusion – Attachment 8A.8. Use of Project Equipment – Attachment 9A.9. Pass-through Agreement – Attachment 10Letter of Intent for funding assistance – Attachment 11 (New applicants only)

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